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

Not included with any Packages.

$300

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 Silver, Gold and Platinum Packages.

$150

This sample document is intended for an individual that desires to utilize a representative of an investment adviser firm as a trustee.  This acknowledgement clarifies that such activity is outside of the individual’s role with the investment adviser and consequently is not supervised by the investment adviser firm.  Due to the custody issues and civil liability risks associated with such activity/arrangement, this sample form should not be used or customized without first consulting with a compliance professional and an attorney.

Included with Platinum Package.

$250

This sample form is intended for use when an investment adviser representative’s recommendation to purchase a fixed indexed annuity within a retirement account is an outside business activity which is not approved or otherwise supervised by the investment adviser firm.

 

Included with the Silver, Gold and Platinum Packages.

$250

This is sample form whereby the client authorizes the investment adviser firm to send regulatory disclosures, correspondence and other communication to client via email.

Included with Silver, Gold and Platinum Packages.

$150

This is a sample form whereby a client authorizes the release of client’s information to a departing rep and his or her new firm.

Included with Silver, Gold and Platinum Packages.

$200

This sample form is intended for use when there’s a change in the controlling ownership of the investment adviser firm; it is not intended for assigning a client to a new investment adviser firm.

Included with Platinum Package.

$200

Included with Gold and Platinum Packages.

$175

This sample form is intended as a letter to clients about the investment adviser firm’s new procedure of looking back and updating the valuation of non-traded, private investment funds for purposes of calculating the investment adviser firm’s fee.

Included with Platinum Package.

$250

Included with Platinum Package.

$200

This is a sample letter to a client from an investment adviser representative who is starting a new investment adviser firm and will be dually licensed as an investment adviser representative with the old and new firm during the transition. This sample letter includes a 60 day notice of the assignment of the old firm client agreement to the new firm and an authorization for the old firm to release client information to the new firm.  The arrangement referenced in this sample letter may not be applicable or permitted by certain securities regulators. Due to the complexities associated with the underlying issues referenced in the letter and different requirements of securities regulators, this sample should be used with the assistance of a compliance professional.

Included with Platinum Package

$250

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

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

$150

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

This sample log is intended to assist your investment adviser firm in tracking the conflicts of interest of your firm and its supervised persons and documenting how the firm eliminated or disclosed and mitigated such conflicts.

Included with 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.

$250

Investment advisers have a duty to protect client information. To help comply with this duty RIA Compliance Consultants created this sample form to give to cleaing crews who may inadvertently come into contact with client information.

Included with Platinum Package

$200

Pursuant to Section 206 of the Investment Advisers Act of 1940, an investment adviser has a duty to its clients to conduct a reasonable investigation concerning any third parties that provide services to the investment adviser, including cloud computing service providers.  To comply with this duty, an investment adviser needs to implement a system to conduct a due diligence review of any cloud computing service provider hired by the investment adviser.  These procedures should be reasonably designed to ensure that each cloud computing service provider is properly investigated before an agreement is signed with the third party.

This Sample Form is designed to help you investment adviser firm ask appropriate questions for Cybersecurity service providers.

Included with Platinum Package.

$200.00

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 with 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 with 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

This sample form is an example of a client authorization in order for an investment adviser to deliver (via email) certain investment advisory documents.

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

$200

Document your investment adviser’s audit of client fees.

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

$75

Included with Silver, Gold and Platinum Packages.

$125

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 with 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

To the extent that an investment adviser firm has classified certain individuals associated with the investment adviser firm as “non-access” persons, this is sample document for confirming with each individual classified as a non-access person that he or she is not permitted to access certain non-public information regarding clients and the non-public securities recommendations of the investment adviser firm.

Included with Platinum Package.

$200

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

This sample document is intended for use when an investment adviser representative recommends use of a fixed indexed annuity in lieu of an account separately managed by an investment adviser.

Included with Silver, Gold and Platinum Packages

$250

Included with Platinum Package.

$200

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

These are sample letters for an investment adviser to request that the SEC provide confidential treatment under the Freedom of Information Act (“FOIA”) for documents produced to the SEC.  These are merely samples intended for customization and use after careful review of SEC’s Rule 83 and the Freedom of Information Act and with the assistance of legal counsel; this sample letter is not a substitute for working with an attorney.

Included with Platinum Package.

$250

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 with 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 with 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 with 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

This Sample Form helps investment advisers document a client’s authorization for the investment adviser to communicate with the client’s trusted emergency contact.

Included with Silver, Gold and Platinum Packages.

$95

A log to keep track of any whistleblower complaints filed.

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

$25

Included with Silver, Gold, and Platinum Packages.

$250

* 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.