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/

This Trading – Pontera – Best Practices Checklist is a sample investment adviser form which is a best practices checklist for an investment adviser utilizing Pontera to manage and trade retirement plan participant accounts and health savings accounts.

This form is available to Platinum & Titanium Annual Compliance Program packages. For clients not in one of those packages, it can be purchased a la carte for $175 through our online store at https://www.ria-compliance-consultants.com/product/pontera-best-practices-checklist/