Advertising – Endorser (Affiliated) – Disclosure Statement

Description

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.

Included with Platinum & Titanium Packages through our Knowledge Base at https://www.ria-compliance-consultants.com/knowledge-base/advertising-endorser-affiliated-disclosure-statement/

Initially posted in July 2023.

Related RCC Resources

• WSP/CoE Section – Advertising
  • Included with an Annual Compliance Program (Bronze, Silver, Gold, Platinum & Titanium packages) through our Knowledge Base at https://www.ria-compliance-consultants.com/knowledge-base/wsp-coe-section-advertising-10-20-2022/
  • Available for an a la carte purchase through our Online Store at https://www.ria-compliance-consultants.com/product/investment-adviser-compliance-manual-advertising-section/

• Advertising – Endorser (Unaffiliated) – Disclosure Statement
  • Included with an Annual Compliance Program (Platinum & Titanium packages) through our Knowledge Base at https://www.ria-compliance-consultants.com/knowledge-base/advertising-endorser-unaffiliated-disclosure-statement/
  • Available for an a la carte purchase through our Online Store at https://www.ria-compliance-consultants.com/product/sec-investment-adviser-endorsement-disclosure/

• Advertising – Testimonial/Endorsement (No Compensation) Authorization
  • Included with an Annual Compliance Program (Platinum & Titanium packages) through our Knowledge Base at https://www.ria-compliance-consultants.com/knowledge-base/advertising-testimonial-endorsement-no-compensation-authorization/
  • Available for an a la carte purchase through our Online Store at https://www.ria-compliance-consultants.com/product/investment-adviser-authorization-to-use-client-testimonial/

• Solicitor Annual Questionnaire – Unaffiliated and Unlicensed
  • Included with an Annual Compliance Program (Platinum & Titanium packages) through our Knowledge Base at https://www.ria-compliance-consultants.com/knowledge-base/solicitor-annual-questionnaire-unaffiliated-and-unlicensed/

Available for an a la carte purchase through our Online Store at https://www.ria-compliance-consultants.com/product/sample-form-solicitor-annual-questionnaire-unaffiliated-and-unlicensed/