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Advertising – Social Medial 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/.

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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/

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Advertising – Endorser (Affiliated) – Disclosure Statement

July 27, 2023

This Advertising – Endorser (Affiliated) – Disclosure Statement is a sample investment adviser form which is intended for an affiliated endorser or solicitor of an investment adviser for documenting the required disclosures under SEC Rule 206(4)-1.

This endorser disclosure statement explains that that the endorser is employed by an affiliate of the investment adviser firm, describes the affiliated endorser’s conflict of interest and notes the limitations of the endorser’s activities.

Available to Platinum & Titanium clients. Available to purchase a la carte in our online store at https://www.ria-compliance-consultants.com/product/investment-adviser-endorser-disclosure-statement/

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Advertising – Testimonial/Endorsement (No Compensation) Authorization

November 16, 2022

This Advertising – Testimonial/Endorsement (No Compensation) Authorization is a sample investment adviser form which is intended as an example of an authorization from a client or third-party to utilize a testimonial or endorsement without any compensation.

Under this authorization, the client or third-party confirms the accuracy of the testimonial or endorsement, authorizes the investment adviser to use of the testimonial/endorsement and requires the client or third-party to notify the investment adviser if the testimonial/endorsement becomes inaccurate.

Included with Platinum & Titanium Packages. Initially posted in November 2022

Don’t have access to this form? Buy it Here.

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Advertising – Endorser (Unaffiliated) – Disclosure Statement

November 16, 2022

This Advertising – Endorser (Unaffiliated) – Disclosure Statement is a sample investment adviser form which is intended as an example of a disclosure statement for an endorsement by an unaffiliated party of an investment adviser registered with the SEC.  This sample disclosure statement is intended to document an unaffiliated endorser’s required disclosures to a prospective client in accordance with the SEC’s Marketing Rule.  This sample endorser disclosure statement includes an acknowledgement of the endorser’s status, a description of the compensation and examples of an endorser’s conflicts of interest.

 

Included with Platinum & Titanium Packages. Don’t have access to this sample form? Buy it Here. Initially posted in November 2022.

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Advertising – Accessibility – Best Practices Checklist

April 28, 2021

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Advertising – Assignment/Buy-Sell/Succession

August 16, 2019

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Advertising – Book Disclosures

August 16, 2019

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Advertising – Business Card Checklist & Footers for Emails and Letterhead/Stationery

August 16, 2019

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Advertising – Case Studies – Guiding Principles

August 16, 2019

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