Understanding INTEGFI’s Compliance Documents
- INTEGFI
- Jul 27, 2025
- 3 min read
At INTEGFI, transparency is at the core of how we work with clients. Like every registered investment advisory (RIA) firm, we are required by regulators to prepare and submit a set of documents that explain who we are, how we operate, what services we provide, and how we protect our clients. These documents are not created arbitrarily — they are required and reviewed by regulators to ensure transparency, accountability, and the protection of clients’ best interests.
These filings are first submitted when the firm is established, and then updated on a regular basis — typically annually or as needed when there are material changes. The purpose of these documents is not to overwhelm you, but to guarantee that you have clear, standardized information and that regulators can confirm we are operating in your best interest.
If you ever want to verify or download INTEGFI’s filings directly from the regulator, you can find them on the SEC’s official site here:
Common Compliance Documents
Form ADV Part 2A – The Firm Brochure
Purpose: Explains INTEGFI’s services, fees, conflicts of interest, and overall approach.
Why It Matters: This is the “big picture” overview of how we operate. It ensures that you have full transparency into our business practices.
Signature Required? ❌ No – delivered for disclosure only.
Form ADV Part 2B – Advisor Brochure Supplement
Purpose: Provides information about the background, qualifications, and potential conflicts of interest for the advisor(s) working directly with you.
Why It Matters: It allows you to see the credentials and experience of your advisor in an official, regulator-reviewed format.
Signature Required? ❌ No – delivered for disclosure only.
Form CRS – Client Relationship Summary
Purpose: A short, plain-English summary (2 pages) that explains the services we provide, how we are paid, and our standard of conduct.
Why It Matters: This is the most digestible compliance document, required by regulators to be quick and easy for clients to understand.
Signature Required? ❌ No – delivery is required, but acknowledgment signature is optional (best practice).
Link: Download Form CRS (PDF)
Privacy Notice
Purpose: Explains how we handle and protect your personal and financial information.
Why It Matters: Your data privacy is critically important, and this notice shows exactly how your information is safeguarded.
Signature Required? ❌ No – delivery required initially and annually.
Financial Planning Agreement
Purpose: Outlines the scope of planning services, deliverables, fees, and terms of engagement.
Why It Matters: This is our mutual agreement on what you can expect from INTEGFI, and what we commit to delivering.
Signature Required? ✅ Yes – must be signed by both advisor and client(s).
Investment Management Agreement
Purpose: Defines how we manage your investments, whether we have discretion, the fee schedule, and responsibilities of both client and advisor.
Why It Matters: This is the governing contract for your investment relationship with INTEGFI.
Signature Required? ✅ Yes – must be signed by both advisor and client(s).
Why This Matters
Yes, there are quite a few documents. But each one serves an essential role required by regulators to strengthen transparency, establish accountability, and safeguard the client’s best interest. They are not just compliance checkboxes; they are carefully reviewed and monitored to protect investors and keep advisory firms accountable.
At INTEGFI, we don’t expect you to memorize or master them. Our role is to guide you through what matters most to your unique situation and keep the process as clear and straightforward as possible.
If you’d like to explore any of our compliance documents directly, you can always visit our regulator’s database here:
