Annual CRIA Client Contact on A360

IA-reps must contact each investment advisory client regularly (at least annually, within 12 months of last contact) and document these meetings for periodic review by compliance.  All annual contact performed after Feb 2, 2024 must be recorded on A360’s Corporate RIA Annual Review form.

The form -> Practice360 – Compliance Tab – Annual Reviews Tile – Corporate RIA Reviews

1. Seach for the advisor (if have proxy to multiple advisors)
2. May search for specific Household, Account Number or Name on Account
3. Click on the 3 dots next to the Household Name – select “New CRIA Entry” to start a new form.  Complete the required fields on the form, upload any supporting documents and click save.
4. To review the record, click on 3 dots next to the Household Name – select “View History”.
5. May click on Export to Excel to export page data and click on header to sort columns.  Last CRM Review and Next Scheduled CRM Review dates are prefilled from C360 Contacts Tab - Reviews data.

Learn more

• Watch the CRIA Overview Demo
• Review the CRIA Client Contact in A360 Reference Guide
• Check out the CRIA: Annual Client Contact Requirements FAQs
• Review the Compliance Manuals – Investment Adviser Client Contact section

Questions?

Reach out to an Agency Supervisory Officer.

Email help@charteroakfinancial.com or schedule time using Calendly.