Sample Forms

RIA Compliance Consultants has developed the following forms to assist investment advisers in maintaining the required books and records. The forms are delivered in Microsoft Word 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.*

Form
Cost

For $595, you can purchase the Sample Forms Package, which includes certain forms listed below. The Sample Forms Package does not include all of the forms listed below. Please consult the Learn More section of each form’s description for an indication whether it is included within this package.

$595

The following are sample disclosures for a book written by an investment adviser firm or supervised person of the investment adviser firm.

Included with Gold and Platinum Packages.

$200

The sample checklist and sample disclosures are intended for reviewing business cards and email/letterhead footers for compliance purposes.

Included with Bronze, Silver, Gold and Platinum Packages.

$175

This sample checklist provides some guiding principles for an investment adviser firm that is considering the use of case studies in advertising.

Included with Silver, Gold and Platinum Packages.

$225

This is a sample checklist for use when reviewing non-performance advertising.

Included with Bronze, Silver, Gold and Platinum Packages.

$75

Advertising – Compliance Review Spreadsheet is a sample form intended for an investment adviser to track the compliance review of advertising and marketing pieces.

Included with Bronze, Silver, Gold and Platinum Packages.

$25

This D/B/A (doing business as) Name Guidance form provides an investment adviser with a checklist that has several points an investment adviser should consider when selecting a D/B/A name under which they will offer advisory services. Many advisers are unaware of potential hazards and issues that regulators may have with their D/B/A.

Included with Bronze, Silver, Gold and Platinum Packages.

$150

Provide your employees with a form to report any professional designations they earn.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$150

This sample checklist offers several compliance recommendations related to the use of radio, podcast or broadcast over social media.

 

Included with Gold and Platinum Packages.

$150

This is a sample disclosure for a report showing the past performance of certain investments recommended for a client account (assuming that the report is not intended to represent Investment Adviser’s past investment performance and is intended to only show how the proposed investments performed in the past).

Included with Bronze, Silver, Gold and Platinum Packages.

$125

Advertising – Seminar Presentation Disclosure is an example of certain key disclosures that an investment adviser should make during a seminar presentation.

Included with Gold and Platinum Package.

$250

Provide your employees with a form to request approval to use social media for business purposes.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$75

Included with Silver, Gold and Platinum Packages.

$150

This sample disclosure is an example of a terms, conditions and disclosures webpage or footer for the website of an investment adviser.

Included with Bronze, Silver, Gold and Platinum Packages.

$275

Allows your firm to document the review of advertising and marketing materials.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

This sample form is a checklist of certain issues which should be considered by an investment adviser firm when preparing a full withdrawal of its registration as an investment adviser.

Included with Platinum Package.

$150

This sample form is intended to assist an investment adviser firm in documenting its risk assessment, supervision duties and annual review and assessment of its compliance program (i.e. policies/procedures). 

Included with Bronze, Silver, Gold and Platinum Packages.

$225

This sample form is a no-response letter for SEC regulatory purposes of notifying a client of an assignment of a client agreement from old firm to a new firm (started by reps at old firm).

Included with Platinum Package.

$200

This sample form is intended for use when there’s a change in the controlling ownership of the investment adviser firm; it is not intended for assigning a client to a new investment adviser firm.

Included with Platinum Package.

$200

This sample document is intended as a confirmation of the assignment of an investment advisory agreement, and it should be used after sending the client a 60 days’ notice letter to the client.

Included with Platinum Package.

$100

This is a sample letter to a client from an investment adviser representative who is starting a new investment adviser firm and will be dually licensed as an investment adviser representative with the old and new firm during the transition.

Included with Platinum Package

$250

This checklist is designed to be used by investment adviser that receives referrals from a bank or credit union, operates on the premise of a bank or credit union, or is owned by an affiliate bank, bank holding company, or credit union. The checklist provides methods or best practices for avoiding any customer confusion that the investment adviser firm is a bank, credit union or other type of depository institution or securities recommended/advised by the investment adviser firm are guaranteed by FDIC or NCUA.

$150

This client acknowledgement is a sample investment adviser form which is used when the investment adviser firm is owned by or an affiliate of a bank or credit union, offers investment advisory services on the premise of a bank or credit union, or receives client referrals from a bank or credit union.

Included with Gold and Platinum Packages.

$200

The Bank – Referral Arrangement Disclosure Statement to Client is a sample investment adviser form which is intended for use when an investment adviser firm pays a referral fee to a bank for the referral of a bank customer to the investment adviser firm.

Included with Platinum Package

$250

Use this form to evaluate the broker-dealers through which client trades are executed and determine which broker-dealer should be engaged to provide services for a specific client.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$75

This sample document is a log of the checks (made out to a third-party by the client) received and then forwarded by the investment adviser form.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

Keep track of all important client information including contact information, account numbers and important dates.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

This sample form is a sample checklist to identify and document issues reviewed and discussed during a client meeting.  These items are examples of compliance issues which might make sense for inclusion in an investment adviser firm’s finalized checklist/template depending upon the circumstances.

Included with Value, Bronze, Silver, Gold and Platinum Packages.

$125

This is a sample investment adviser form which is intended to track the document retention of required records.

Included with Value, Bronze, Silver, Gold and Platinum Packages.

$50

This package contains two documents.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$75

This sample form was designed to model the format in which the U.S. Securities and Exchange Commission typically requests investment advisers to submit their trade blotters during an examination. It can be used by an investment adviser to track their client trades with all the categories which are commonly requested to be provided by the SEC. This sample form is provided in a Microsoft Excel spreadsheet and is separated into 4 different sections (Equities, Fixed Income, Mutual Funds, Cash).

Included in the Sample Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$35

This sample form is an example of documenting the appointment of a branch supervisor and branch supervisor designee.

Included with Silver, Gold and Platinum Packages.

$200

This sample form is an example of a checklist for adding a new branch location.  It includes items that may need to be updated and some basic compliance/supervision tasks that may be necessary depending upon the circumstances.

Included with Gold and Platinum Packages.

$200

These are examples of best practices associated with an investment adviser representative sharing office space with an unaffiliated, third-party office sharer who doesn’t provide investment advisory services.

Included with Silver, Gold and Platinum Packages.

$225

Included in Platinum Package.

$300

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$150

This sample checklist list is intended to raise some of the issues that an investment adviser should consider when determining which individual to designate as the chief compliance officer (CCO) within an investment adviser firm.

 

Included with Bronze, Silver, Gold & Platinum.

$125

This sample document is a letter to a client confirming the receipt of an inquiry or complaint and the initiation of an investigation of such inquiry/complaint.

Included with Gold and Platinum Packages.

$85

This sample document is a checklist of some key compliance tasks during the receipt/investigation/resolution of a client complaint.

Included with Gold and Platinum Packages.

$150

This sample document is a letter from the investment adviser firm to a rep requesting an explanation regarding a customer complaint.

Included with Gold and Platinum Packages.

$200

This sample document is a log to record client complaints.

Included with Value, Bronze, Silver, Gold and Platinum Packages.

$50

This sample document is intended to help a compliance officer summarizes a client complaint and track the various action items and progress of the investigation/resolution of the client complaint.

Included with Gold and Platinum Packages.

$100

This is a sample checklist of best practices for an investment adviser firm when a client dies.

Included with Bronze, Silver, Gold and Platinum Packages.

$100

Document dates and reasons for a client ending relations with the firm.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

Keep a log of all clients who have left the firm.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

Allows your investment adviser to document each employee’s acknowledgement of their receipt of the firm’s code of ethics.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$75

Track and document clients’ requests for a copy of the firm’s code of ethics.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

Provide your employees with a form to notify the chief compliance officer about any compliance violations.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$150

Allows your investment adviser to document each employee’s acknowledgement of their receipt of the firm’s compliance manual.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$150

This sample form is an example of a client authorization in order for an investment adviser to deliver (via email) certain investment advisory documents.

Included with Value, Bronze, Silver, Gold and Platinum Packages.

$200

This sample document is intended for use by an investment adviser firm which permits the text messaging of clients for work purposes.

Included with Silver, Gold and Platinum Packages.

$250

Document attendance at compliance training sessions.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

This is a sample disclosure when an investment adviser representative makes a recommendation to purchase a commission-based product during the financial planning process, which is a conflict of interest. This sample form does not mean that RIA Compliance Consultants, Inc. (“RCC”) is in any way recommending that the investment adviser firm allow the investment adviser representative to engage in such activity and RCC is offering no safe harbor related to such conflict of interest.

Included with Value, Bronze, Silver, Gold and Platinum Packages.

$200

This sample checklist covers identifying conflicts of interest (including a list of examples) and preparing disclosures of conflicts of interest. It is not a comprehensive list of all conflicts of interest.

Included with Bronze, Silver, Gold and Platinum Packages.

$175

This sample client acknowledgement discloses the conflict of interest that exists when an investment adviser representative recommends insurance or securities paying varying commissions during the financial planning process.

Included with Bronze, Silver, Gold and Platinum Packages.

$225

This sample log is intended to assist your investment adviser firm in tracking the conflicts of interest of your firm and its supervised persons and documenting how the firm eliminated or disclosed and mitigated such conflicts.

Included with Silver, Gold and Platinum Packages.

$25

This sample form is a best practices checklist for purposes of custody as it relates an investment adviser firm which accepts credit cards or ACH bank payments for investment adviser services.

Included with Bronze, Silver, Gold and Platinum Packages.

$175

This sample investment adviser form, Custody – SLOA for First-Party Transfers – Spreadsheet for Documenting Requirements, is an Excel spreadsheet intended to assist an SEC registered investment adviser firm in documenting that client authority (e.g., standing letter of authorization) to initiate a first-party transfer between a client’s accounts at different qualified custodian is not custody.

Included with Value, Bronze, Silver, Gold and Platinum Packages

$50

This sample spreadsheet is intended to help an investment adviser firm document that each Standing Letter of Authorization (SLOA) to transfer an investment advisory client’s funds to a third-party meets the SEC’s custody guidance. 

Included with Value, Bronze, Silver, Gold and Platinum Packages.

$85

RIA Compliance Consultants has compiled a list of Cybersecurity and Information Security best practices that can be used to assess the state of your firm’s information security policies.

Included with Bronze, Silver, Gold and Platinum Packages.

$250

To help comply with this duty RIA Compliance Consultants created this sample form to give to clearing crews who may inadvertently come into contact with client information.

Included with Gold and Platinum Packages.

$200

Pursuant to Section 206 of the Investment Advisers Act of 1940, an investment adviser has a duty to its clients to conduct a reasonable investigation concerning any third parties that provide services to the investment adviser, including cloud computing service providers.

Included with Gold and Platinum Packages.

$200

This form can be used as an acknowledgement that employees are aware of the investment adviser firms cybersecurity policies and procedures and that employees will refrain from violating the policies.

Included with Gold and Platinum Packages.

$50

This is a best practices checklist for websites regarding the EU’s GDPR. RCC does not specialize in information technology/systems or EU regulations.

Included with Gold and Platinum Packages.

$150

This is a sample letter for an investment adviser firm to notify a client that an email purportedly from the investment adviser firm is in fact a phishing email. The sample letter explains what a phishing email is and then gives the client recommendations on steps to protect his or her email accounts and financial accounts.

Included with Gold and Platinum Packages.

$175

For $250 you receive our Cybersecurity and Identity Theft Best Practices Checklist and access to our webinar, Cybersecurity for Investment Advisers.

Included with Gold and Platinum Packages.

 

$250

This sample review form is intended as an example for documenting the due diligence review of an alternative investment. This sample form should not be considered a comprehensive listing of all the due diligence issues/factors/criteria when reviewing an alternative investment. This sample review form is merely a starting point for creating a review form.

Included with Gold and Platinum Packages.

$200

This is a sample form intended for use by an investment adviser when a client independently selected (without assistance, referral or recommendation by investment adviser) a service provider in order to document that investment adviser has not provided due diligence on such service provider.

Included in Gold and Platinum Packages.

$250

This sample form provides example questions regarding an already approved Signal/Model Provider’s compliance program.

Included with Gold and Platinum Packages.

$250

This sample form provides example questions regarding an already approved sub adviser’s compliance program.

Included with Gold and Platinum Packages.

$250

This sample form provides example questions regarding an already approved third-party money manager’s compliance program.

Included with Gold and Platinum Package.

$250

Document your investment adviser’s audit of client fees.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$75

This sample form is intended to assist an investment adviser conducting an internal audit of its fee calculation for account subject to an asset-based investment advisory fee. It’s in the format of an Excel spreadsheet.

Included with Bronze, Silver, Gold and Platinum Packages.

$125

This sample form is intended as a letter to clients about the investment adviser firm’s new procedure of looking back and updating the valuation of non-traded, private investment funds for purposes of calculating the investment adviser firm’s fee.

Included with Platinum Package.

$250

This sample pre-engagement disclosure and prospective client acknowledgement is intended to confirm that any access to eMoney (or other software) provided by an investment adviser firm is for background purposes during the introductory phase and does not create a financial planning engagement or advisor/client relationship.

Included with Gold and Platinum Packages.

$200

This is a sample letter whereby an investment advisor summarizes any material changes to the Form ADV Part 2A during the past year, offers its most current copy of the Form ADV Part 2A and delivers a privacy policy notice to the client.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$150

Track and document clients’ requests for a copy of the firm’s Form ADV.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

Document reviews and changes to the firm’s Form ADV.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

Document gifts given and received by employees from clients or financial organization.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

Provide your employees with a form to report gifts given and received from clients or financial organizations.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$150

These are examples of best practices associated with developing or implementing heightened supervision plans.

Included with Silver, Gold and Platinum Packages.

$150

This is a sample heightened supervision plan for an investment adviser representative with credit problems or a bankruptcy, tax lien or a compromise with a creditor.

Included with Silver, Gold and Platinum Packages.

$225

This is a sample fee invoice statement for asset management services rendered by an investment adviser to a client.

Included with Silver, Gold and Platinum Packages.

$125

The Invoice – Hourly is a sample investment adviser form which is an example of an invoice for services already rendered on an hourly basis.

Included with Silver, Gold and Platinum Packages.

$125

This sample letter is intended for use when an investment adviser representative is seeking permission from a state securities regulator for dual registration on a temporary basis as an investment adviser representative with both a new investment adviser firm and an old investment adviser firm.

Included with Gold and Platinum Packages.

$150

To the extent that an investment adviser firm has classified certain individuals associated with the investment adviser firm as “non-access” persons, this is sample document for confirming with each individual classified as a non-access person that he or she is not permitted to access certain non-public information regarding clients and the non-public securities recommendations of the investment adviser firm.

Included with Platinum Package.

$200

This sample form is an example of an acknowledgement for an insurance only agent, who is not investment adviser representative licensed, in attendance at an investment advisory client meeting.  This is merely an example and should not be used without consulting with a compliance professional and/or legal counsel.

Included with Bronze, Silver, Gold and Platinum Packages.

$150

This is a sample order memorandum or trade ticket.

Included with Forms, Value, Bronze, Silver, Gold and Platinum.

$25

Outside Business Activity – Client Acknowledgement – General is a sample investment adviser form whereby a client acknowledges that the representative’s other business activity is outside of, separate from and not supervised by the investment adviser firm.

Included with Platinum Package.

$250

This sample form is intended for use when an investment adviser representative’s recommendation to purchase a fixed indexed annuity within a retirement account is an outside business activity which is not approved or otherwise supervised by the investment adviser firm.

Included with the Silver, Gold and Platinum Packages.

$250

This sample document is intended for an individual that desires to utilize a representative of an investment adviser firm as a trustee.

Included with Platinum Package.

$250

This Outside Business Activity – Investigation Checklist is a sample investment adviser form which is intended to assist an investment adviser firm investigate the outside business activities of supervised persons. This checklist includes high-level considerations, best practices for obtaining disclosures, general background questions, tips for investigating undisclosed outside business activities and potential red flags.

Included with Bronze, Silver, Gold and Platinum Packages.

$200

This sample document is intended for use when an investment adviser representative recommends use of a fixed indexed annuity in lieu of an account separately managed by an investment adviser.

Included with Silver, Gold and Platinum Packages

$250

Provide your employees with a form to report their outside business activities.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$225

Provide your employees with a form to annually report their personal securities holdings.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$75

Provide your employees with a form to report their personal brokerage accounts.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$75

Use this sample letter to request duplicate confirmations and statements be provided to the compliance department of your registered investment adviser firm.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$75

Provide your employees with a form to report their personal securities trades.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$75

This sample document is a pre-clearance approval form for a personal securities transaction.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$75

Provide your employees with a form to quarterly report their personal securities holdings.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$75

Document employee donations to political candidates.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

Provide your employees with a form to any contributions they make to political candidates.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$150

This sample form is intended to document a client’s authorization for a third-party to release confidential client information and documents to an investment adviser.

Included with Silver, Gold and Platinum Packages.

$50

This is a sample form whereby a client authorizes the release of client’s information to a departing rep and his or her new firm.

Included with Silver, Gold and Platinum Packages.

$200

An investment adviser firm must provide a privacy policy notice to all clients at the time of engagement and annually thereafter.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$150

Track and document clients’ requests for a copy of the firm’s privacy policy.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

This sample form is a confirmation by the client that the client provided his or her investment adviser representative with the client’s non-public information necessary to establish a new account/relationship at the new firm and the investment adviser representative did not rely upon any non-public client information in the possession of the old firm.

Included with Gold and Platinum Packages.

$175

This form may be used for a client to give permission to a third party to disclose their personal identifiable information to your registered investment adviser on behalf of the client.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$150

This sample form is intended a reference tool when the investment adviser firm or its supervised person appears to be subject to a regulatory inquiry or investigation.  This sample form is a checklist of approximately 20 steps or issues that an investment adviser firm may potentially want to consider or address.

Included with Platinum Package.

$175

This form is designed to help your investment adviser firm keep track of its investment adviser representatives by documenting any changes to their business in the last 12 months.

Included with Gold and Platinum Packages.

$200

This sample checklist includes various compliance issues which may be relevant in determining whether to affiliate with a prospective investment adviser representative.

Included with Gold and Platinum Packages.

$200

This sample document provides a checklist of tasks to perform when an investment adviser representative’s affiliation is terminated with the investment adviser firm.

Included with Silver, Gold and Platinum Packages.

$200

This sample form is designed to assist in documenting an investment adviser firm’s use of a plan participant’s user Id when advising/managing a plan participant’s self-directed retirement account as it relates to custody.

Included with Silver, Gold and Platinum Packages.

$200

These are examples of best practices for an investment adviser firm during a routine examination by the SEC or a state securities regulator.

Included with Bronze, Silver, Gold and Platinum Packages.

$200

This sample log is intended for tracking and organizing documents and information requested/delivered during an examination of an investment adviser firm by a securities regulator.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

This is sample form is intended for an investment adviser firm which is conducting its own mock examination of itself. 

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$200

  • These are sample letters for an investment adviser to request that the SEC provide confidential treatment under the Freedom of Information Act (“FOIA”) for documents produced to the SEC.

Included with Gold and Platinum Packages.

$250

This Sample Form helps investment advisers document a client’s authorization for the investment adviser to communicate with the client’s trusted emergency contact. It has been updated in light of the passage of the Senior Safe Act to specifically include instances of suspected senior financial exploitation as a time when the trusted emergency contact may be contacted.

Included with Silver, Gold and Platinum Packages.

$95

This package consists of seven different documents RCC has created in light of the passage of the Senior Safe Act and regulatory trends moving to protect senior investors.

Included with Platinum Packages.

$495

This sample form was designed to be used by firms to document an employee’s internal reporting of suspected senior financial exploitation.

Included with Silver, Gold and Platinum Packages.

$75

This is a review of state reporting requirements in all 50 states for senior financial exploitation that are applicable to investment adviser firms.  Please note that this list may have become dated and no longer accurate due to changes since it was created.

This PDF is also available as part of a package of sample forms, documents, and training materials covering the Senior Safe Act and senior financial exploitation.

Included with Platinum Packages.

$150

This form helps your investment adviser firm keep track of solicitor relationships by documenting changes to your solicitor’s business within the last 12 months.

Included with Gold and Platinum Packages.

$200

This form helps your investment adviser firm keep track of solicitor relationships by documenting changes to your solicitor’s business within the last 12 months.

Included with Gold and Platinum Packages.

$200

This form helps your investment adviser firm keep track of solicitor relationships by documenting changes to your solicitor’s business within the last 12 months.

Included with Gold and Platinum Packages.

$200

For an investment adviser rep who is dually licensed as a registered representative of a broker-dealer, this is sample acknowledgement disclosing to a client common differences between a broker-dealer/commission arrangement and an investment adviser/fee arrangement.

Included with Silver, Gold and Platinum Packages.

$150

This is a sample client acknowledgement related to an investment in marijuana-related business.

$200

This form is a disclosure in which the client confirms he/she understands the risks of investing in Private Equity Funds.

Included with Platinum Package.

$295

This sample investment adviser form is intended to document that an investment was not analyzed, solicited, or recommended by a representative or an investment adviser firm.

Included with Gold and Platinum Packages.

$275

For a client rolling over funds from a qualified retirement plan to an IRA, this is sample form for a client to acknowledge differences between retirement plan and IRA.

Included with Bronze, Silver, Gold and Platinum Packages.

$300

Document the information gathered from clients to assist in determining each client’s investment risk tolerance.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$150

This sample investment adviser form is intended to confirm that a client is not being managed for tax efficiency purposes.

Included with Gold and Platinum Packages.

$100

Included with Silver, Gold, and Platinum Packages.

$250

Provide your employees with a form to report any trade errors.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

A log to keep track of any trade errors made.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

A log to keep track of any whistleblower complaints filed.

Included with Forms, Value, Bronze, Silver, Gold and Platinum Packages.

$25

This sample form is intended to help an investment adviser firm internally document a supervised person’s “whistleblowing” complaint.

Included with Gold and Platinum Packages.

$125

* Important Disclosure About Limitation of Sample Documents

Please understand that a sample document purchased through our online store is merely a sample and provided to the purchaser on “as is” basis with no warranty or guaranty whatsoever.

The sample document has not been customized to the purchaser’s business model, the specific investment advisory rules applicable to the purchaser’s investment adviser or the written supervisory procedures and code of ethics of purchaser’s investment adviser. This sample document may not be applicable or appropriate for every investment adviser. The purchaser should not consider a sample document purchased from our online stor as an exhaustive, comprehensive or definitive list of the items necessary to meet the purchaser’s obligations under the applicable investment adviser laws and rules.

This sample document is not intended to detect or prevent fraud, selling away, Ponzi schemes, undisclosed outside business activities, inaccurate or false fee calculations, theft, misappropriation or unlawful conversion of client funds.

Due to changes of investment adviser laws and rules, this sample documented may become outdated and need to be updated or discontinued. Since this sample document may not reflect the specific investment advisory requirements of the purchaser’s securities regulator, the purchaser should check with the securities regulator(s) with jurisdiction over its investment adviser before using this document.

This sample document is not a substitute for retaining a compliance professional to advise and assist the purchaser regarding its investment adviser’s compliance program. Unless otherwise agreed to in writing, the purchaser understands that the purchaser has not engaged RIA Compliance Consultants, Inc. in a consulting relationship by merely utilizing a sample form. Additionally, the purchaser understand that unless otherwise agreed to in writing, RIA Compliance Consultants, Inc. is not responsible for customizing this sample document, updating the sample document, preparing the purchaser’s written supervisory procedures or code of ethics, or notifying the purchaser of changes to the investment advisor laws and rules.