Pricing
For all payments/subscriptions:
We will not accept checks due to its delays in delivery and the possibility of getting lost in the mail. Accepted payments are Credit/Debit cards (Visa, Mastercard, AMEX), wires*, and ACH/E-checks*.
We use 17hats as our payments invoicing system. Please contact us immediately if you suspect any invoicing messages were sent erroneously and/or from a non-trusted source.
Interview of business operations
Provide a core Information Request List;
Client File Review/Sampling;
Follow-Up/Report/Feedback
Policies, books, and records
Client files; billing
ADV and disclosure documents
Agreements
Trading procedures; Code of ethics
Fee arrangements; accounts
Advertising (marketing, social media, internet, etc.)
Client Deliverables (reporting; questionnaires)
Data retention/recordkeeping (security; effectiveness)
CCO Duties Overview (Training)
Interview of business operations
Provide a core Information Request List;
Client File Review/Sampling;
Follow-Up/Report/Feedback
Policies, books, and records
Client files; billing
ADV and disclosure documents
Agreements
Trading procedures; Code of ethics
Fee arrangements; accounts
Advertising (marketing, social media, internet, etc.)
Client Deliverables (reporting; questionnaires)
Data retention/recordkeeping (security; effectiveness)
CCO Duties Overview (Training)
Meet to discuss requirements
Review procedures Manual
Add tasks for annual calendar
Quarterly Notification/Updates
Includes annual subscription to compliance/disclosure app
Meet to discuss requirements
Review procedures manual
Add tasks for annual calendar
Annual notifications/Updates
Includes annual subscription to compliance/disclosure app
Compliance Officer: This package provides outsourced consulting support with Unlimited Filings, Monthly** or Quarterly Review; Compliance Calendar; Policies and Procedures Training, Marketing Material Review, Liaison with Regulators, Compliance/Disclosure Technology for three people, and general Q&A compliance support (calendar notifications of annual filings are included with every service). Third-Party subscriptions for E-Mail Archiving, Continuing education, 13F filings, and Cybersecurity monitoring.
Firm is responsible for
Add-ons: If not already included, each package can be customized with the following for a fee:
Compliance
Third Party Services
Advanced: This package provides outsourced consulting support with: up to six filings*, additional registration, an annual meeting to discuss annual books/records requirements, a procedures check, compliance/disclosure technology for three people, and general Q&A compliance support (calendar notifications of annual filings are included with every service). Third party subscriptions--annual cybersecurity monitoring and 13-F filings.
Firm is responsible for
Add-ons: If not already included, each package can be customized with the following for a fee:
Compliance
Third Party Services
Basic + Action Plan: This package provides outsourced consulting support with up to four filings*, an annual meeting to discuss annual books/records requirements, compliance/disclosure technology for one person, and general Q&A compliance support (calendar notifications of annual filings are included with every service). Third party subscriptions--annual cybersecurity monitoring and 13-F filings.
Firm is responsible for
Add-ons: If not already included, each package can be customized with the following for a fee:
Compliance
Third Party Services
Basic: This package provides outsourced consulting support with up to three filings, compliance/disclosure technology for one person, and general Q&A compliance support (calendar notifications of annual filings are included with every service). Third party subscriptions-- 13-F filings.
Firm is responsible for
Add-ons: If not already included, each package can be customized with the following for a fee:
Compliance
Third Party Services
Compliance Officer: This package provides outsourced consulting support with Unlimited Filings, Monthly** or Quarterly Review; Compliance Calendar; Policies and Procedures Training, Marketing Material Review, Liaison with Regulators, Compliance/Disclosure Technology for three people, and general Q&A compliance support (calendar notifications of annual filings are included with every service). Third-Party subscriptions for E-Mail Archiving, Continuing education, and Cybersecurity monitoring.
Firm is responsible for
Add-ons: If not already included, each package can be customized with the following for a fee:
Compliance
Third Party Services
Advanced: This package provides outsourced consulting support with up to four filings*, additional registration, an annual meeting to discuss annual books/records requirements, a procedures check, compliance/disclosure technology for three people, and general Q&A compliance support (calendar notifications of annual filings are included with every service). Third party subscriptions--annual cybersecurity monitoring.
Firm is responsible for
Add-ons: If not already included, each package can be customized with the following for a fee:
Compliance
Third Party Services
Basic + Action Plan: This package provides outsourced consulting support with up to two filings*, an annual meeting to discuss annual books/records requirements, compliance/disclosure technology for one person, and general Q&A compliance support (calendar notifications of annual filings are included with every service).
Firm is responsible for
Add-ons: If not already included, each package can be customized with the following for a fee:
Compliance
Third Party Services
Basic: This package provides outsourced consulting support with up to two filings, compliance/disclosure technology for one person, and general Q&A compliance support (calendar notifications of annual filings are included with every service).
Firm is responsible for
Add-ons: If not already included, each package can be customized with the following for a fee:
Compliance
Third Party Services
Contact Us for more information about our servics
Third Party Partners
Registration: This package provides support for registrations with one or more jurisdictions (SEC and/or State) that includes: (1) FINRA Filing System Setup Assistance: ADV Form Part 1A/B; Part 2A, 2B, and CRS (SEC firms) Brochure filing, U-4 – IAR/rep filing and (2) Supplemental documents including and Investment Advisory Agreement; Policies & Procedures Manual; Business Continuity Plan; Privacy Policy Notice.
Firm is responsible for
Process
Timeline*
Third Party Services
Compliance
Third Party Subscriptions
Registration: This package provides support for interim registrations with one or more jurisdictions (SEC and/or State) that includes: (1) ADV Form Part 1A/B; Part 2A, B, and CRS (for SEC firms) brochure filing, U-4 – IAR/rep filing and/or (2) supplemental documents including and Investment Advisory Agreement; Policies & Procedures Manual; Business Continuity Plan; Privacy Policy Notice.
Firm is responsible for
Process
Timeline*
Third Party Services
Compliance
Third Party Subscriptions
