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This Advertising – Website Terms, Conditions and Disclosures for State Firm is an example of a disclosure for an investment adviser registered with a U.S. state securities regulator to include on webpages.
Initially posted in March 2026. Included with Bronze, Silver, Gold, Platinum & Titanium Packages. Available for purchase in the online store at: https://www.ria-compliance-consultants.com/product/advertising-website-terms-conditions-and-disclosures-for-state-firm/
This Advertising – Website Terms, Conditions and Disclosures for SEC Firm is an example of a disclosure for an investment adviser registered with the U.S. Securities and Exchange Commission (“SEC”) to include on webpages.
Initially posted in March 2026. Included with Silver, Gold, Platinum & Titanium Packages. Available for purchase in the online store at: https://www.ria-compliance-consultants.com/product/advertising-website-terms-conditions-disclosures-sec/
This form is designed to confirm compliance with the SEC Rule 206(4) – 1), Regulation S-P, and general due-diligence, cybersecurity, and risk management principles.
Last Updated 8/22/2025.
Included in Gold, Platinum, and Titanium packages. Available for a la carte purchased through the online store at: https://www.ria-compliance-consultants.com/product/due-diligence-annual-promoter-due-diligence-questionnaire-and-attestation/
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/
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 Media 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/
