Standard Package :
Entitlement Paperwork
ADV Part I
ADV Part II & Schedules
Form U-4 filing for one representative
Filing in one jurisdiction
Investmane Advisory Contract
Written Policies & Procedures Manual
Code of Ethics
Privacy Policy
Client Advisory Agreement | $2157.00 |
The quoted prices do not include any registration fees, such as State/SEC fees, FINRA fees, and exam fees. These fees are submitted directly to the agency. |
Primary Services: Entitlement Paperwork
ADV Part I
ADV Part II & Schedules
Form U-4 Filing (per person)
Investment Advisory Contract
Privacy Policy Statement
Code of Ethics
Chief Compliance Officer Survival Kit
Written Policies & Procedures Manual (includes Code of Ethics)
Each additional state
Eash additional representative
Annual Renewal Package
- Update and amendment to ADV Parts I & II
- Compile state specific paperwork
- Renewal fee handling
|
$107
$247
$429
$97
$507
$59
$197
$497
$497
$197
$97
$427
| |
Specialty Services:
Annual Review of Compliance Program
Risk Assessment of Supervisory Procedures
Customized Written Policies and Procedures Manual
Customized Internal Controls |
Call For Details
Call For Details
Call For Details
Call For Details |
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