Sample Forms

RIA Compliance Consultants has developed the following sample compliance forms to assist investment advisers in maintaining the required books and records. The forms are delivered in Microsoft Word or PDF format and can easily be customized to fit your business. Each form can be purchased individually, and certain forms are included as part of our packages. Please see the Learn More section of each form for additional details.*

Before these sample compliance forms can be purchased, the purchaser will be directed to electronically sign a terms and use agreement.  After signing that agreement, the purchaser will be redirected to the purchaser’s shopping cart to complete the purchase transaction.

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NamePriceBuy
13F - Checklist for Filing via Securex$50.00
ADV-W - Client Letter - Notification of Firm's ADV-W$200.00
ADV-W – Full Withdrawal of Investment Adviser Registration - Checklist$150.00
Advertising - Accessibility - Best Practices Checklist$0.00
Advertising - Book Disclosures$200.00
Advertising - Case Studies - Guiding Principles$225.00
Advertising - Checklist for Common Compliance Issues with Non-Performance Advertising$75.00
Advertising - Compliance Review Spreadsheet$35.00
Advertising - D/B/A Name Guidance$150.00
Advertising - Professional Designation Reporting Form$150.00
Advertising - Radio, Podcast & Broadcast Over Social Media – Best Practices$150.00
Advertising - Report Showing Past Performance of Recommended Funds - Disclosure$125.00
Advertising - Seminar Presentation Disclosures$250.00
Advertising - Social Media Review-Approval Form$75.00
Advertising - Social Media/Email - Dirty Word List for Surveillance$150.00
Advertising - Testimonial/Endorsement (No Compensation) Authorization$200.00
Advertising – Assignment/Buy-Sell/Succession$125.00
Annual Financial Report - Cover Letter for California$85.00
Annual Review – Spreadsheet for Risk Assessment, Supervision Chart and Assessment Log$225.00
Assignment/Change of Ownership - Client Letter - Confirmation of New Owner After 60 Day Notice with 45 Day Rescission - No Response$200.00
Bank - Client Acknowledgement - RIA Not Bank & Investments Not Insured$200.00
Best Execution - Broker-Dealer Evaluation$75.00
Books & Records - Checks Received & Forwarded Log$35.00
Books & Records - Client File Review Form$35.00
Books & Records - Client Meeting Notes & Checklist$125.00
Books & Records - Document Retention Spreadsheet$50.00
Books & Records - Documentation Log and Suggested List of Compliance Files and Reports$75.00
Books & Records – Trade Blotter for Investment Adviser$35.00
Branch Office - Appointment of Branch Supervisor$200.00
Branch Office - Checklist for Office Sharing with Unaffiliated, 3rd Party$225.00
Branch Office – Adding New Office Location Checklist$200.00
Branch Office Review - IA Checklist$300.00
CCO - Annual Compliance Calendar Checklist$150.00
CCO - Common Duties for CCO for New RIA Firm - Compliance Calendar & Suggested Files$150.00
CCO - Third-Party - Confirming Annual Review Completion$50.00
Checks Received and Forwarded Log$25.00
Client as Investor/Owner in RIA – Checklist of Compliance Issues$200.00
Client Authorization to Release Copy of Client Records to Departing Rep$150.00
Client Complaint - Acknowledgement of Receipt$85.00
Client Complaint - Letter to Rep Requesting Explanation$200.00
Client Complaint - Log$50.00
Client Complaint - Summary$100.00
Client Letter - ADV-W - Notification of Firm's ADV-W$200.00
Client Letter - Assignment of Client Agreement to New Firm (Started by Reps at Old Firm)-No Response$200.00
Client Letter - Assignment/Change of Ownership - Assignment of Client Agreement to New Firm (Started by Reps at Old Firm)-No Response$200.00
Client Letter - Assignment/Change of Ownership - Change of Controlling Ownership - Client Written Response Required$200.00
Client Letter - Assignment/Change of Ownership - Confirmation of Assignment of Advisory Agreement after Initial 60 Day Notice$100.00
Client Letter - Assignment/Change of Ownership - Confirmation of New Owner After 60 Day Notice$200.00
Client Letter - Assignment/Change of Ownership - Death of Former Owner - New Owner - No Response Consent$200.00
Client Letter - Assignment/Change of Ownership - Internal Sale - 60 Day Notice - No Response Consent$200.00
Client Letter - Assignment/Change of Ownership - Rep Starting New Firm, Dual IAR Registration During Transition, 60 Days’ Notice and Authorization to Release Client Information$250.00
Client Letter - Confirming Rep Termination & Release of Information to New Firm$200.00
Client Term - Client Letter - Notifying Termination of Services & Waiver of Notice Period$200.00
Client Term - Death - Best Practices Checklist$100.00
Client Term - Lost Client Form$35.00
Client Term - Lost Client Form Log$25.00
Code of Ethics - Acknowledgment Form$75.00
Code of Ethics - Client Request/Delivery Log$35.00
Code of Ethics - Compliance Violations Reporting Form$150.00
Code of Ethics/Compliance Manual - Acknowledgement Form$150.00
Communication - Electronic Delivery - Client Authorization$200.00
Communication - Text Messaging of Clients Permitted - Rep Acknowledgement & Authorization$250.00
Communications – Social Media & Electronic Messaging Annual Questionnaire$150.00
Compliance Training - Interactive Compliance Training Tool – COMPLETE with Questions$250.00
Compliance Training - Interactive Compliance Training Tool – TEMPLATE$125.00
Compliance Training/Meeting Attendance Sign-in Form$35.00
Conflicts of Interest - Cash Sweep Program Checklist$250.00
Conflicts of Interest - Financial Planning - Recommending Products with Varying Commissions$250.00
Conflicts of Interest - FP - Varying Compensation for Insurance/Securities - Client Acknowledgement$225.00
Conflicts of Interest - Log$25.00
Conflicts of Interest – Fixed Indexed Annuities – Best Practices$100.00
Custody – Credit Card/ACH Payments – Best Practices for Avoiding Custody$175.00
Custody – SLOA for First-Party Transfers – Spreadsheet for Documenting Requirements$50.00
Custody – SLOA Transfer to 3rd Party – Spreadsheet Documenting Requirements$85.00
Custody – Spreadsheet for Reviewing Qualified Custodian’s Account Documentation for Inadvertent Custody$95.00
Cybersecurity - 12 Steps for an RIA to Improve Security of Client Information$100.00
Cybersecurity - Best Practices Checklist$250.00
Cybersecurity - Employee Acknowledgement$50.00
Cybersecurity - GDPR Best Practices Checklist for Website$150.00
Cybersecurity - Phishing Email - Letter Notifying Client$175.00
Cybersecurity - Website Security Checklist for an Investment Adviser$25.00
Cybersecurity – Best Practices for Avoiding and Responding to Phishing Attacks$175.00
Cybersecurity – Best Practices for RIA Collecting Devices for Digital Forensic Expert$35.00
Cybersecurity – Cleaning Company Acknowledgement – Background Checks$200.00
Cybersecurity – Conducting Due Diligence of Cloud Computing Service Providers$200.00
Cybersecurity – Training to Avoid Phishing$175.00
Due Diligence - Client Acknowledgement - No Due Diligence of Service Provider Selected by Client$250.00
Due Diligence - Ongoing Questionnaire for Signal/Model Provider's Compliance Program$250.00
Due Diligence - Ongoing Questionnaire for Sub-Adviser's Compliance Program$250.00
Due Diligence - Reimbursement of 3rd Party Professional Services - Client Acknowledgement$250.00
Due Diligence - Vendor Due Diligence Checklist$200.00
Due Diligence (Ongoing) Questionnaire for Third-Party Money Manager Compliance Program$250.00
ESG Investing - Client Consent of Adviser's Use of ESG Objectives$35.00
Fee - Audit Review Form$75.00
Fee - Audit Spreadsheet - Internally Calculated Asset-Based Investment Adviser Fees$125.00
Fee - Client Letter - New Procedure – 12 Month Look for Back for Valuing Private Investment Funds$250.00
Financial Planning - Pre-Engagement Disclosure for Use of eMoney During Introductory Phase$200.00
Foreign Investment Adviser – Undertaking to Provide Books & Records to SEC$75.00
Form ADV - Annual Offer Letter$150.00
Form ADV - Language - COVID-19 Risks$35.00
Form ADV - Language - IAR PPP Loan Disclosure$100.00
Form ADV - Part 3 - Conversation Starters Script$250.00
Form ADV - Part 3 - Cover Letters for Relationship Summary$175.00
Form ADV - Part 3 - Relationship Summary Delivery Log$25.00
Form ADV - Request/Receipt Log$25.00
Form ADV - Revisions Log$25.00
Form ADV – Language – Item 18.B – PPP Loan$150.00
Form ADV – Sample Language – Rollover Recommendation$150.00
Form ADV – Worksheet for Calculating Regulatory Assets Under Management$225.00
Form ADV Part 3 - Training Tool$250.00
Gifts and Entertainment - Log$25.00
Gifts and Entertainment - Reporting Form$150.00
Heightened Supervision Plan - Best Practices Checklist$150.00
Heightened Supervision Plan - Credit$225.00
IAR CE – Tracking Spreadsheets$100.00
Insider Trading – Annual Questionnaire of Firm’s Supervised Person’s Affiliation with Public Company$150.00
Insider Trading – Identifying and Mitigating Risk Checklist$225.00
Invoice - Asset Management Services (Asset Based Fee)$125.00
Invoice - Hourly$125.00
Licensing - Dual IAR Registration - Letter to Licensing Dept of State Regulator$150.00
Mock Exam Document Request List$200.00
Non-Licensed Meeting Attendee - Acknowledgement$150.00
Non-Licensed Owner - Acknowledgement by Owner$225.00
Non-Licensed Owner - Checklist of Compliance Issues$225.00
Non-Licensed Owner - Client Acknowledgement$200.00
OBA - Reporting Form$225.00
Order Memorandum/Trade Ticket$25.00
Outside Business Activity - Client Acknowledgement - General$250.00
Outside Business Activity - Client Acknowledgement that Fixed Indexed Annuity Recommendation Is an Outside Activity$250.00
Outside Business Activity - Client Acknowledgement that Rep’s Trustee Services Are Outside of Investment Adviser Firm$250.00
Outside Business Activity - Investigation Checklist$200.00
Outside Business Activity - Recommending FIA in lieu of SMA in Retirement Account - Client Acknowledgement$250.00
Outside Business Activity – Acknowledgement that Rep’s Non-Profit Board of Director’s Activity Is Outside of RIA$250.00
Personal Securities Transactions - Annual/Initial Personal Securities Holding Report$75.00
Personal Securities Transactions - Brokerage Account Disclosure Form$75.00
Personal Securities Transactions - Letter to Request Duplicate Confirmations & Statements$75.00
Personal Securities Transactions - Personal Securities Trading Request Form$75.00
Personal Securities Transactions - Pre-Clearance Form$75.00
Personal Securities Transactions - Quarterly Personal Securities Transaction Report$75.00
Personal Securities Transactions - Supervising for Insider Trading Checklist$225.00
Personal Securities Transactions Form – Non-Access Person Acknowledgment$200.00
Political Contributions - Log$25.00
Political Contributions - Reporting Form$150.00
Privacy - Client Authorization for 3rd Party to Release Confidential Info. to Investment Advisor$50.00
Privacy - Client Authorization to Release Copy of Client Records to Departing Representative$200.00
Privacy - Client Privacy Policy Notice (Sample)$150.00
Privacy - Client Privacy Policy Notice Request/Receipt Log$25.00
Privacy - Confirmation that Client Provided Rep with Info to Establish New Account$175.00
Privacy - Permission to Disclose Personal Info on Behalf of Client$150.00
Private Equity Risk Disclosure$295.00
Private Fund - Common Issues for Adviser to Private Fund$200.00
Regulatory Inquiry/Investigation - Checklist$175.00
Rep - Recruiting - New Firm Recommending Prospect Retain Attorney Before Affiliating$100.00
Rep - Supervision - Letter of Caution
Rep – Diminished Capacity of IAR$175.00
Rep Term - Client Letter - Existing Rep Termination & New Successor Rep$200.00
Rep Term - Client Letter - Rep Starting New Firm, Temporary Dual Registration, No-Response Notice$200.00
Rep Term - Rep Letter - Notification of Termination$200.00
Retirement Plan Participant's User ID & Password - Internal Checklist for Custody$200.00
Sample Form - Advertising/Marketing Review Form$35.00
Sample Form - Branch Office Review – IA Checklist Form$300.00
Sample Form - Chief Compliance Officer Acknowledgement Form$75.00
Sample Form - Client Authorization for Electronic Delivery of Documents$150.00
Sample Form - Compliance Issues Log$25.00
Sample Form - Compliance Training/Meeting Attendance Sign-in Form$25.00
Sample Form - Conflicts of Interest Log$25.00
Sample Form - Customer Complaint Log$50.00
Sample Form - Sample Margin Disclosure Form$150.00
Sample Form - Solicitor Annual Questionnaire - Affiliated and Licensed$200.00
Sample Form - Solicitor Annual Questionnaire - Affiliated and Unlicensed$200.00
Sample Form - Solicitor Annual Questionnaire - Unaffiliated and Unlicensed$200.00
Sample Form - Supervision Assignment Chart$150.00
SEC Exam - Privilege Log$50.00
SEC Exam – Investment Adviser’s Confirmation of New Deadline for Response$25.00
SEC Exam – Log of Requested Docs & Info$35.00
SEC Exam – Mock Exam Document Request List$200.00
SEC Exam – Response to Deficiency or Findings Letter from Securities Regulator$25.00
SEC Exam – Sample Letters Requesting Confidential Treatment under FOIA$250.00
Senior/Vulnerable Clients - Internal Reporting Form for Exploitation$75.00
Senior/Vulnerable Clients - State Reporting Requirements$150.00
Senior/Vulnerable Clients – Client Authorization to Communicate with Trusted Emergency Contact$95.00
Suitability - Broker-Dealer (Commission) v. RIA (Fee) Account - Client Acknowledgement$150.00
Suitability - Client Letter - Confirming Accounts & Objectives$175.00
Suitability - Excessive Withdrawals from a Retirement Account - Client Acknowledgement$250.00
Suitability - Rep Did Not Solicit or Recommend Investment - Investor Acknowledgement$275.00
Suitability - Risk Tolerance Questionnaire for Clients$150.00
Suitability - Wrap vs. Non-Wrap Account - Client Acknowledgement$250.00
Suitability – Marijuana-Related Investment – Acknowledgement by Client of Speculative Nature$200.00
Suitability Tax Efficiency - Client Acknowledgement - Account Not Managed for Taxes$100.00
Trade Error - Documentation Form$25.00
Trade Error - Log$25.00
Trading - Checklist for Detecting Cherry Picking$175.00
Trading - Pontera - Best Practices Checklist$175.00
Trading - Pontera - Sample Language for Form ADV Part 2A$175.00
Whistleblower - Complaint/Tracking Reporting Form$25.00
Whistleblower - Sample Whistleblower Reporting Form$125.00