Sample Forms

RIA Compliance Consultants has developed the following forms to assist investment advisers in maintaining the required books and records. The forms are delivered in Microsoft Word format and can easily be customized to fit your business. Each form can be purchased individually, and certain forms are included as part of our packages. Please see the Learn More section of each form for additional details.*

Form
Cost

For $595, you can purchase the Sample Forms Package, which includes certain forms listed below. The Sample Forms Package does not include all of the forms listed below. Please consult the Learn More section of each form’s description for an indication whether it is included within this package.

$595

RIA Compliance Consultants has prepared a template compliance manual section to assist advisers with developing internal policies and procedures on the process for assessing the suitability and appropriateness of a recommending a wrap-fee or fee-based account to a client instead of a standard brokerage/commission based account. In addition to the template manual section, you will receive a sample Broker-Dealer (Commission) v. RIA (Fee) Account Acknowledgement that investment adviser representatives that are dually registered as representatives of a broker-dealer can have clients execute to acknowledge that the investment adviser has disclosed the common differences between a broker-dealer/commission arrangement and an investment adviser/fee arrangement.

Included with the Gold and Platinum Packages.

$295

Template compliance manual section to assist advisers with developing internal policies and procedures on the process for assessing the suitability and appropriateness of a recommending a wrap-fee or fee-based account to a client instead of a standard brokerage/commission based account.

Included with the Silver, Gold and Platinum Packages.

$175

Allows your firm to document the review of advertising and marketing materials.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

Keep track of your annual, quarterly and ongoing compliance responsibilities.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$150

This package contains two documents. One is a log to keep track of all of the books and records maintained by your firm, including storage and access information. The second is a list of suggested file and reports that may be requested by a regulator during an examination or investigation. The purpose of this list is to help you set-up your compliance filing and reporting system.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$75

Use this form to evaluate the broker-dealers through which client trades are executed and determine which broker-dealer should be engaged to provide services for a specific client.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$75

For an investment adviser rep who is dually licensed as a registered representative of a broker-dealer, this is sample acknowledgement disclosing to a client common differences between a broker-dealer/commission arrangement and an investment adviser/fee arrangement. The SEC has identified the dual IAR/RR business model conflict as an examination priority.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$150

Keep track of all important client information including contact information, account numbers and important dates.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

Allows your investment adviser to document each employee’s acknowledgement of their receipt of the firm’s code of ethics.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$75

Track and document clients’ requests for a copy of the firm’s code of ethics.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

Provide your employees with a form to notify the chief compliance officer about any compliance violations.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$150

Allows your investment adviser to document each employee’s acknowledgement of their receipt of the firm’s compliance manual.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$150

Document attendance at compliance training sessions.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

An investment adviser firm must provide a privacy policy notice to all clients at the time of engagement and annually thereafter. This document contains three templates for your reference and possible use.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$150

Track and document clients’ requests for a copy of the firm’s privacy policy.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

RIA Compliance Consultants has compiled a list of Cybersecurity and Information Security best practices that can be used to assess the state of your firm’s information security policies.

Included with Platinum Package.

$195

This form can be used as an acknowledgement that employees are aware of the investment adviser firms cybersecurity policies and procedures and that employees will refrain from violating the policies.

Included with Platinum Package.

$50

This sample form provides example questions regarding an already approved Signal/Model Provider’s compliance program.  This form does not address the Signal/Model Provider’s investment performance.

Included in Gold and Platinum Packages.

$250

This sample form provides example questions regarding an already approved sub adviser’s compliance program.  This form does not address the sub adviser’s investment performance.

Included in Gold and Platinum Packages.

$250

This sample form provides example questions regarding an already approved third-party money manager’s compliance program.  This form does not address the third-party money manager’s investment performance.

Included with Gold and Platinum Package.

$250

Document your investment adviser’s audit of client fees.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$75

This is a sample letter whereby an investment advisor summarizes any material changes to the Form ADV Part 2A during the past year, offers its most current copy of the Form ADV Part 2A and delivers a privacy policy notice to the client.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$150

Track and document clients’ requests for a copy of the firm’s Form ADV.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

Document reviews and changes to the firm’s Form ADV.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

Provide your employees with a form to report gifts given and received from clients or financial organizations.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$150

Document gifts given and received by employees from clients or financial organization.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

This form is designed to help your investment adviser firm keep track of its investment adviser representatives by documenting any changes to their business in the last 12 months.

Included in Gold and Platinum Packages.

$200

Document dates and reasons for a client ending relations with the firm.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

Keep a log of all clients who have left the firm.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

Provide your employees with a form to report their outside business activities.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$225

This form may be used for a client to give permission to a third party to disclose their personal identifiable information to your registered investment adviser on behalf of the client.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$150

Provide your employees with a form to report their personal brokerage accounts.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$75

Provide your employees with a form to annually report their personal securities holdings.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$75

Provide your employees with a form to quarterly report their personal securities holdings.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$75

Provide your employees with a form to report their personal securities trades.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$75

Use this sample letter to request duplicate confirmations and statements be provided to the compliance department of your registered investment adviser firm.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$75

Provide your employees with a form to any contributions they make to political candidates.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$150

Document employee donations to political candidates.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

This form is a disclosure in which the client confirms he/she understands the risks of investing in Private Equity Funds. The form also defines Private Equity and lays out the risks that accompany investing in Private Equity Funds.

Included with Platinum Package.

$295

Provide your employees with a form to report any professional designations they earn.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$150

For a client rolling over funds from a qualified retirement plan to an IRA, this is sample form for a client to acknowledge differences between retirement plan and IRA.

Included with Silver, Gold and Platinum Packages.

$300

Document the information gathered from clients to assist in determining each client’s investment risk tolerance.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$150

Provide your employees with a form to request approval to use social media for business purposes.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$75

This form helps your investment adviser firm keep track of solicitor relationships by documenting changes to your solicitor’s business within the last 12 months. The majority of state securities regulators define the solicitation or referral of investment advisory clients as an investment advisory activity requiring the registration of the solicitor as an investment adviser or investment adviser representative. An investment adviser firm considering a solicitor arrangement should verify whether the intended solicitor’s activity is included under the state securities regulator’s definition of an investment adviser representative.

Included in Gold and Platinum Packages.

$200

This form helps your investment adviser firm keep track of solicitor relationships by documenting changes to your solicitor’s business within the last 12 months. The majority of state securities regulators define the solicitation or referral of investment advisory clients as an investment advisory activity requiring the registration of the solicitor as an investment adviser or investment adviser representative. An investment adviser firm considering a solicitor arrangement should verify whether the intended solicitor’s activity is included under the state securities regulator’s definition of an investment adviser representative.

Included in Gold and Platinum Packages.

$200

This form helps your investment adviser firm keep track of solicitor relationships by documenting changes to your solicitor’s business within the last 12 months. The majority of state securities regulators define the solicitation or referral of investment advisory clients as an investment advisory activity requiring the registration of the solicitor as an investment adviser or investment adviser representative. An investment adviser firm considering a solicitor arrangement should verify whether the intended solicitor’s activity is included under the state securities regulator’s definition of an investment adviser representative.

Included in Gold and Platinum Packages.

$200

Provide your employees with a form to report any trade errors.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

A log to keep track of any trade errors made.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

A log to keep track of any whistleblower complaints filed.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

* Important Disclosure About Limitation of Sample Documents

Please understand that a sample document purchased through our online store is merely a sample and provided to the purchaser on “as is” basis with no warranty or guaranty whatsoever.

The sample document has not been customized to the purchaser’s business model, the specific investment advisory rules applicable to the purchaser’s investment adviser or the written supervisory procedures and code of ethics of purchaser’s investment adviser. This sample document may not be applicable or appropriate for every investment adviser. The purchaser should not consider a sample document purchased from our online stor as an exhaustive, comprehensive or definitive list of the items necessary to meet the purchaser’s obligations under the applicable investment adviser laws and rules.

This sample document is not intended to detect or prevent fraud, selling away, Ponzi schemes, undisclosed outside business activities, inaccurate or false fee calculations, theft, misappropriation or unlawful conversion of client funds.

Due to changes of investment adviser laws and rules, this sample documented may become outdated and need to be updated or discontinued. Since this sample document may not reflect the specific investment advisory requirements of the purchaser’s securities regulator, the purchaser should check with the securities regulator(s) with jurisdiction over its investment adviser before using this document.

This sample document is not a substitute for retaining a compliance professional to advise and assist the purchaser regarding its investment adviser’s compliance program. Unless otherwise agreed to in writing, the purchaser understands that the purchaser has not engaged RIA Compliance Consultants, Inc. in a consulting relationship by merely utilizing a sample form. Additionally, the purchaser understand that unless otherwise agreed to in writing, RIA Compliance Consultants, Inc. is not responsible for customizing this sample document, updating the sample document, preparing the purchaser’s written supervisory procedures or code of ethics, or notifying the purchaser of changes to the investment advisor laws and rules.