Client Disclosures

If you're building onboarding flows or compliance systems for investment advisers or broker-dealers, this walks you through what disclosure documents you actually need to deliver and when. It covers Form ADV Part 2A and 2B structure and timing, Form CRS formatting rules (down to the two-page limit and required conversation starters), prospectus delivery obligations for mutual funds versus ETFs, Reg S-P privacy notices, and trade confirmation requirements under Rule 10b-10. The content is detailed enough to design workflows around, with specific delivery triggers like "120 days after fiscal year end" for annual brochure updates or "at or before completion" for trade confirms. Good reference if you need to audit what you're missing or explain requirements to product teams.

skills.sh installs: 685
GitHub stars: 224
last updated: Aug 21, 2026

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Install

$ npx -y skills add joellewis/finance_skills --skill client-disclosures --agent claude-code

Installs into .claude/skills of the current project.

Files

Client Disclosures

Regulatory status current as of June 2026 — verify effective dates, dollar thresholds, and pending rulemakings against current SEC/FINRA/FinCEN sources before advising.

Core Concepts

Form ADV Part 1

Filed electronically via IARD (Investment Adviser Registration Depository). Contains:

Registration information (SEC, states)
Form of organization, control persons, and ownership
Disciplinary history (criminal, regulatory, civil)
Other business activities and financial industry affiliations
Custody of client assets
Participation in client transactions
AUM and number of clients

Part 1 is publicly available through the SEC's Investment Adviser Public Disclosure (IAPD) website. It is not delivered to clients but is a regulatory filing that must be kept current (annual updating amendment within 90 days of fiscal year end, interim amendments for material changes).

SKILL.md on GitHub