Knowledge Base

What information must be included in the separate written solicitor disclosure that the third-party solicitor must provide a client?


Search Knowledge Base by Keyword

What information must be included in the separate written solicitor disclosure that the third-party solicitor must provide a client?

< Back

As outlined by SEC Rule 206(4)-3, the separate written solicitor disclosure must include the following information:

  1. The name of the solicitor;
  2. The name of the investment adviser;
  3. The nature of the relationship between the solicitor and investment adviser;
  4. A statement that the solicitor will be compensated by the investment adviser for the referral;
  5. The terms of such compensation arrangement including a description of the fees paid or to be paid to the solicitor; and
  6. The additional amount that will be charged to the investment advisory fee and the differential attributable to such a solicitor arrangement.

Unless otherwise indicated, all materials on these pages are copyrighted by RIA Compliance Consultants, Inc. All rights reserved. No part of this Sample Form, slides, webinar, either text, image, or audio may be used for any purpose other than personal use. Reproduction, modification, storage in a retrieval system or retransmission, in any form or by any means, electronic, mechanical or otherwise, for reasons other than personal use, is strictly prohibited without prior written permission.