| 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 - Business Card Checklist & Footers for Emails and Letterhead/Stationery | $175.00 | |
| 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 - Endorser (Affiliated) - Disclosure Statement | $200.00 | |
| Advertising - Endorser (Unaffiliated) - Disclosure Statement | $200.00 | |
| 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 - Review Form | $35.00 | |
| 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 - Social Medial Post Disclosure | $50.00 | |
| Advertising - Testimonial/Endorsement (No Compensation) Authorization | $200.00 | |
| Advertising - Video - Sample Disclosure | $200.00 | |
| Advertising – Assignment/Buy-Sell/Succession | $125.00 | |
| Annual Financial Report - Cover Letter for California | $85.00 | |
| Annual Review - Certification of Annual Retrospective Review of IRA Rollover | $195.00 | |
| Annual Review – Spreadsheet for Risk Assessment, Supervision Chart and Assessment Log | $225.00 | |
| Assignment - Name Change Only - Letter to Client | $30.00 | |
| Assignment/Change of Ownership - Client Letter - Confirmation of New Owner After 60 Day Notice with 45 Day Rescission - No Response | $200.00 | |
| Bank - Advertising and Communication Checklist | $150.00 | |
| Bank - Client Acknowledgement - RIA Not Bank & Investments Not Insured | $200.00 | |
| Bank - Referral Arrangement Disclosure Statement to Client | $250.00 | |
| 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 - Determining Who to Designate as CCO of RIA | $125.00 | |
| 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 - File Checklist | $150.00 | |
| 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 - Checklist | $175.00 | |
| 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 - Best Practices for Supervising Bill Pay Services | $275.00 | |
| 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 - Alternative Investment - Review Form | $200.00 | |
| Due Diligence - Client Acknowledgement - No Due Diligence of Service Provider Selected by Client | $250.00 | |
| Due Diligence - Document Request List When IAR Affiliating with Broker-Dealer | $200.00 | |
| 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 - Best Compliance Practices Checklist | $175.00 | |
| ESG Investing - Client Consent of Adviser's Use of ESG Objectives | $35.00 | |
| ESG Investing - SEC Exam Request List | $100.00 | |
| 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 | |
| Invoice - Retainer Request | $85.00 | |
| Licensing - Dual IAR Registration - Letter to Licensing Dept of State Regulator | $150.00 | |
| Licensing - IAR Transition by Dually Licensing with Two Unaffiliated Firms | $200.00 | |
| 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 Transaction - Checklist for Personal Account Not Controlled by Access Person | $175.00 | |
| Personal Securities Transactions - Annual/Initial Personal Securities Holding Report | $75.00 | |
| Personal Securities Transactions - Brokerage Account Disclosure Form | $75.00 | |
| Personal Securities Transactions - Checklist for Reviewing PSTs & Holdings | $175.00 | |
| 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 Consent to Share NPPI with Non-Affiliates | $150.00 | |
| 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 | |
| Privacy - Privacy Notice to Share NPPI with Non-Affiliates | $150.00 | |
| Private Equity - Compliance Checklist for Investment Adviser When Recommending PE Investment | $200.00 | |
| Private Equity Risk Disclosure | $295.00 | |
| Private Fund - Common Issues for Adviser to Private Fund | $200.00 | |
| Regulatory Inquiry/Investigation - Checklist | $175.00 | |
| Rep - IAR Annual Questionnaire | $200.00 | |
| Rep - Prospective Rep Checklist - Compliance Issues | $200.00 | |
| Rep - Recruiting - Best Practices Checklist | $150.00 | |
| Rep - Recruiting - Letter of Intent Re Affiliation | $200.00 | |
| Rep - Recruiting - New Firm Recommending Prospect Retain Attorney Before Affiliating | $100.00 | |
| Rep - Supervision - Letter of Caution | $85.00 | |
| Rep – Diminished Capacity of IAR | $175.00 | |
| Rep Term - Checklist | $200.00 | |
| 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 | |
| Rep Term - Setting Up New RIA Before Termination | $300.00 | |
| Retirement Plan Participant's User ID & Password - Internal Checklist for Custody | $200.00 | |
| 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 - Best Practices Checklist | $200.00 | |
| 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 | |
| Succession – Due Diligence Checklist for Buying/Selling Rep’s Client List | $250.00 | |
| 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 - Leveraged/Inverse ETFs - Client Acknowledgement | $185.00 | |
| Suitability - Rep Did Not Solicit or Recommend Investment - Investor Acknowledgement | $275.00 | |
| Suitability - Retirement Plan Rollover - Client Acknowledgement | $300.00 | |
| 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 – Recommending Proprietary Investment or Fund Checklist | $135.00 | |
| 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 | |
| WSP/CoE Section Update - IRA Rollover Recommendations | $250.00 | |
