Keynote Financial Services Form CRS & ADV

Effective Date: September 25, 2025


At Keynote Financial Services, LLC, we believe in transparency and providing our clients with the information they need to make informed decisions. As a registered investment adviser, we are required to file and maintain Form ADV with the U.S. Securities and Exchange Commission (SEC). This form is divided into three parts, each serving a distinct purpose.


Form ADV Part 1


Form ADV Part 1 is filed with the SEC and state securities authorities. It provides detailed information about our firm’s business operations, ownership structure, client base, employees, business practices, and any disciplinary history related to the firm or its employees. This filing is primarily intended for regulators to review, but it is publicly accessible for transparency.


Form ADV Part 2


Form ADV Part 2 is the disclosure document we deliver to clients and prospective clients. It is divided into two parts:


  • Part 2A (Firm Brochure): Outlines the services we provide, our fee schedule, potential conflicts of interest, disciplinary history (if any), and other disclosures that are important for you to consider.
  • Part 2B (Brochure Supplement): Provides background information about the key advisory personnel at Keynote Financial Services, LLC, including their education, business experience, and any disciplinary events.


Together, these brochures are designed to give you a clear and comprehensive view of our services and the professionals you will be working with.


Form ADV Part 3 (Form CRS)


Form CRS, or the Client Relationship Summary, is a newer disclosure form designed to help you better understand your relationship with us. This short document highlights:


  • The types of advisory services we offer
  • The fees and costs associated with those services
  • Conflicts of interest we may have
  • The standard of conduct we must follow
  • Additional important information about our obligations to you


This summary is written in plain language to make it easier to compare firms and evaluate whether our services are the right fit for your financial goals.


Accessing Our Forms


Before you choose an investment adviser, it is important to review all parts of their Form ADV carefully. You can access Keynote Financial Services, LLC’s Form CRS and Form ADV directly from the SEC’s website here or by contacting us for a copy.


If you would like to receive a printed copy of any part of our Form ADV, please reach out to us and we will provide it to you.


Contact Us


If you have any questions or concerns about this Disclaimer, please contact us at:


Keynote Financial Services, LLC

7 Keynote Drive, Suite D

Vernon, CT 06066
(860) 875-5753