Estate Planning – Due Diligence of Digital Platform

October 08, 2024

This Estate Planning – Due Diligence of Digital Platform is a sample investment adviser form which is a due diligence checklist for an investment adviser to investigate digital estate planning platforms or software. .

Included with Gold, Platinum and Titanium Packages. Available for a la carte purchase for $200 through our online store at: https://www.ria-compliance-consultants.com/product/digital-estate-planning-investment-adviser-due-diligence/

Licensing – IAR Transition by Dually Licensing with Two Unaffiliated Firms

March 11, 2024

This Licensing – IAR Transition by Dually Licensing with Two Unaffiliated Firms is a sample investment adviser form which is is a checklist of regulatory requirements and/or best compliance practices associated with an investment adviser representative (“IAR”) seeking to transition from an existing investment adviser firm to a new investment adviser firm by dually licensing as an investment adviser representative at these two unaffiliated firms for a temporary period.

Included with Platinum and Titanium Packages. Available for a la carte purchase through our Online Store at

Rep Term – Setting Up New RIA Before Termination

March 11, 2024

Rep Term – Setting Up New RIA Before Termination is a sample letter from the chief compliance officer (“CCO”) of a current investment adviser firm to a departing investment adviser representative (“IAR”) who is being denied a dual IAR licensing request but permitted to set up a new entity and file an application to register an investment adviser while the departing investment adviser representative is still IAR licensed through the current investment adviser firm.

Available to Titanium package clients. Available for a la carte purchase through our Online Store at https://www.ria-compliance-consultants.com/product/cco-letter-iar-new-ria-firm/.

Advertising – Social Medial Post Disclosure

March 01, 2024

This Advertising – Social Medial Post Disclosure is an example of a disclosure for an investment adviser to include at the end of a social media post.

Initially posted in March 2024. Included with Bronze, Silver, Gold, Platinum & Titanium Packages. Available a la carte through our online store at https://www.ria-compliance-consultants.com/product/investment-adviser-social-media-disclosure/.

Advertising – Video – Sample Disclosure

March 01, 2024

This Advertising – Video – Sample Disclosure is a sample disclosure for an investment adviser to use as part of an educational video.

Initially posted in February 2024. Included with Bronze, Silver, Gold, Platinum & Titanium Packages. Available a la carte through our online store at https://www.ria-compliance-consultants.com/product/investment-adviser-disclosure-video/

Trading – Pontera – Sample Language for Form ADV Part 2A

February 23, 2024

This Trading – Pontera – Sample Language for Form ADV Part 2A is a sample investment adviser form which is sample disclosure language for a Form ADV Part 2A regarding an investment adviser use of Pontera.

This form includes examples of disclosure language related to Pontera in Items 4, 5 and 12 of the Form ADV Part 2A. It specifically addresses certain risks associated sharing client passwords with Pontera and a conflict of interest when fees vary between advisory services.

This sample form is included with Platinum & Titanium annual compliance program packages. It can be purchased a la carte for $175 on our online store at https://www.ria-compliance-consultants.com/product/investment-adviser-pontera-form-adv/

Trading – Pontera – Best Practices Checklist

February 23, 2024

This Trading – Pontera – Best Practices Checklist is a sample investment adviser form which is a best practices checklist for an investment adviser utilizing Pontera to manage and trade retirement plan participant accounts and health savings accounts.

This form is available to Platinum & Titanium Annual Compliance Program packages. For clients not in one of those packages, it can be purchased a la carte for $175 through our online store at https://www.ria-compliance-consultants.com/product/pontera-best-practices-checklist/

Rep – Recruiting – Letter of Intent Re Affiliation

November 21, 2023

To access this content, you must purchase Silver Package – Annual Compliance Program – Annual Payments, Silver Package – Annual Compliance Program – Annual Payments (Renewal), Gold Package (10 Hours) – Annual Compliance Program – Annual Payments (Engagement Separate), Gold Package (10 Hours) – Annual Compliance Program – 12 Monthly Installment Payments, Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments, Gold Package (Renewal) – Annual Compliance Program – Annual Payments or Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments (Engagement Executed Separately).

Privacy – Privacy Notice to Share NPPI with Non-Affiliates

November 17, 2023

Privacy – Client Consent to Share NPPI with Non-Affiliates

November 17, 2023

This Privacy – Client Consent to Share NPPI with Non-Affiliates is a sample form for documenting a client’s consent for an investment adviser firm to share the client’s non-public, personal information (“NPPI”) with non-affiliates.

Certain states, such as California, require an investment adviser firm to obtain a client consent in a separate writing with specific language/provisions prior to sharing NPPI with non-affiliates. An investment adviser firm should check the privacy and data protection laws and regulations of each client’s state and review any specific requirements related to the client’s opt-in authorization. For clients located in states requiring written consent to NPPI with non-affiliates, an investment adviser firm must update its privacy policy in addition to obtaining the client consent.

Included with an Annual Compliance Program (Bronze, Silver, Gold, Platinum & Titanium packages). Available for a la carte purchase at https://www.ria-compliance-consultants.com/product/investment-adviser-client-consent-share-nppi/