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Advertising – Website Terms, Conditions & Disclosures
August 16, 2019
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Advertising/Marketing Review Form
August 16, 2019
To access this content, you must purchase Bronze Package – Annual Compliance Program – 3 Months’ Payments – Riddick & Co, Bronze+ Package – Annual Compliance Program – 12 Monthly Installment Payments, 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).
Client Letter – ADV-W – Notification of Firm’s ADV-W
August 16, 2019
This content is only available to members.
This sample form is a checklist of certain issues which should be considered by an investment adviser firm when preparing a full withdrawal of its registration as an investment adviser (i.e., filing the full Form ADV-W) and closing the firm.
Included with Platinum & Titanium packages. Purchase a la carte: ADV-W – Full Withdrawal of Investment Adviser Registration – Checklist
Annual Financial Report – Cover Letter for California
August 16, 2019
To access this content, you must purchase Bronze Package – Annual Compliance Program – 3 Months’ Payments – Riddick & Co, Bronze+ Package – Annual Compliance Program – 12 Monthly Installment Payments, 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).
Annual Review – Spreadsheet for Risk Assessment, Supervision Chart and Assessment Log
August 16, 2019
To access this content, you must purchase Bronze Package – Annual Compliance Program – 3 Months’ Payments – Riddick & Co, Bronze+ Package – Annual Compliance Program – 12 Monthly Installment Payments, 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, Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments (Engagement Executed Separately) or Annual Review – Spreadsheet for Risk Assessment, Supervision Chart and Assessment Log.
Client Letter – Assignment/Change of Ownership – Assignment of Client Agreement to New Firm (Started by Reps at Old Firm) – No Response
August 16, 2019
This content is only available to members.
Client Letter – Assignment/Change of Ownership – Change of Controlling Ownership – Client Written Response Required
August 16, 2019
This content is only available to members.
Client Letter – Assignment/Change of Ownership – Confirmation of Assignment of Advisory Agreement after Initial 60 Day Notice
August 16, 2019
This content is only available to members.
