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Investment Adviser Self-Inspection Checklist – Virginia – Registration, Form ADV Disclosures, Supervision, Required Record Keeping, Custody – 2013

January 20, 2022

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Exam – Oklahoma – Routine Exam – Info Request List – Custodians, WSP, Privacy, Financials, Employees, Private Funds & Solicitors

January 20, 2022

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Exam – Colorado – Routine Exam – Info Request List – April 2018

January 20, 2022

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Exam – SEC – Info Request List – Fee Audit & Crypto-Currency

January 20, 2022

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Exam – SEC – Info Request List – New Investment Adviser Transitioning from State to SEC – April 2018

January 20, 2022

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Exam – SEC – Info Request List – Wrap Fee Program, Portfolio Management, Trade Execution and Financials – January 2018

January 20, 2022

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Exam – SEC – Denver – New Investment Adviser Exam – Info Request List – July 2018

January 20, 2022

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Exam – Pennsylvania – Routine Exam – Info Request List – August 2018

January 20, 2022

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Indiana Securities Division – 3rd Party SLOA Custody Compliance Alert – October 2018

January 20, 2022

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SEC Exam – Log of Requested Docs & Info – October 2018

January 20, 2022

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