Pricing

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

• Communicating firm changes to consultant
• Storing books/records in print or electronic format
• Firm Activities - Trading, Client Accounts, and access rights*
• Managing Third Party subscriptions

Add-ons: If not already included, each package can be customized with the following for a fee:

Compliance

• Risk Assesment/Gap Analysis; Document Reviews; Forensic Testing; Monthly/Quarterly Reviews; Compliance Calendar/Task Setup; Policies and Procedures Training; Audit Prep/liaison with regulators; E-Mail Review/Tech Setup; Marketing Material Review; Liaison with Regulators; Custom Desktop/Mobile App

Third Party Services

• Continuing Education (via third party – Solomon exam prep)
• Email/Social Media Archiving (via third party – Presults)
• Marketing/Tech Support (via third party – FIN Lancer network)

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

• Communicating firm changes or add-on services to consultant
• Maintaining a compliance calendar/task list
• Storing books/records in print or electronic format
• Firm Activities - Trading, Client Accounts, and access rights*
• Managing Third Party subscriptions

Add-ons: If not already included, each package can be customized with the following for a fee:

Compliance

• Risk Assesment/Gap Analysis; Document Reviews; Forensic Testing; Monthly/Quarterly Reviews; Compliance Calendar/Task Setup; Policies and Procedures Training; Audit Prep/liaison with regulators; E-Mail Review/Tech Setup; Marketing Material Review; Liaison with Regulators; Custom Desktop/Mobile App

Third Party Services

• Continuing Education (via third party – Solomon exam prep)
• Email/Social Media Archiving (via third party – Presults)
• Marketing/Tech Support (via third party – FIN Lancer network)

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

• Communicating firm changes or add-on services to consultant
• Maintaining a compliance calendar/tasks list
• Storing books/records in print or electronic format
• Firm Activities - Trading, Client Accounts, and access rights*
• Managing Third Party subscriptions

Add-ons: If not already included, each package can be customized with the following for a fee:

Compliance

• Risk Assesment/Gap Analysis; Document Reviews; Forensic Testing; Monthly/Quarterly Reviews; Compliance Calendar/Task Setup; Policies and Procedures Training; Audit Prep/liaison with regulators; E-Mail Review/Tech Setup; Marketing Material Review; Liaison with Regulators; Custom Desktop/Mobile App

Third Party Services

• Continuing Education (via third party – Solomon exam prep)
• Email/Social Media Archiving (via third party – Presults)
• Marketing/Tech Support (via third party – FIN Lancer network)

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

• Communicating firm changes or add-on services to consultant
• Maintaining a compliance calendar/tasks list
• Storing books/records in print or electronic format
• Firm Activities - Trading, Client Accounts, and access rights*
• Managing Third Party subscriptions

Add-ons: If not already included, each package can be customized with the following for a fee:

Compliance

• Risk Assesment/Gap Analysis; Document Reviews; Forensic Testing; Monthly/Quarterly Reviews; Compliance Calendar/Task Setup; Policies and Procedures Training; Audit Prep/liaison with regulators; E-Mail Review/Tech Setup; Marketing Material Review; Liaison with Regulators; Custom Desktop/Mobile App

Third Party Services

• Continuing Education (via third party – Solomon exam prep)
• Email/Social Media Archiving (via third party – Presults)
• Marketing/Tech Support (via third party – FIN Lancer network)

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

• Communicating firm changes or add-on services to consultant
• Storing books/records in print or electronic format
• Firm Activities - Trading, Client Accounts, and access rights*
• Managing Third Party subscriptions

Add-ons: If not already included, each package can be customized with the following for a fee:

Compliance

• Risk Assesment/Gap Analysis; Document Reviews; Forensic Testing; Monthly/Quarterly Reviews; Compliance Calendar/Task Setup; Policies and Procedures Training; Audit Prep/liaison with regulators; E-Mail Review/Tech Setup; Marketing Material Review; Liaison with Regulators; Custom Desktop/Mobile App

Third Party Services

• Continuing Education (via third party – Solomon exam prep)
• Email/Social Media Archiving (via third party – Presults)
• Marketing/Tech Support (via third party – FIN Lancer network)

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

• Communicating firm changes or add-on services to consultant
• Maintaining a compliance calendar/tasks list
• Storing books/records in print or electronic format
• Firm Activities - Trading, Client Accounts, and access rights*
• Managing Third Party subscriptions

Add-ons: If not already included, each package can be customized with the following for a fee:

Compliance

• Risk Assesment/Gap Analysis; Document Reviews; Forensic Testing; Monthly/Quarterly Reviews; Compliance Calendar/Task Setup; Policies and Procedures Training; Audit Prep/liaison with regulators; E-Mail Review/Tech Setup; Marketing Material Review; Liaison with Regulators; Custom Desktop/Mobile App

Third Party Services

• Continuing Education (via third party – Solomon exam prep)
• Email/Social Media Archiving (via third party – Presults)
• Marketing/Tech Support (via third party – FIN Lancer network)

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

• Communicating firm changes or add-on services to consultant
• Maintaining a compliance calendar/tasks list
• Storing books/records in print or electronic format
• Firm Activities - Trading, Client Accounts, and access rights*
• Managing Third Party subscriptions

Add-ons: If not already included, each package can be customized with the following for a fee:

Compliance

• Risk Assesment/Gap Analysis; Document Reviews; Forensic Testing; Monthly/Quarterly Reviews; Compliance Calendar/Task Setup; Policies and Procedures Training; Audit Prep/liaison with regulators; E-Mail Review/Tech Setup; Marketing Material Review; Liaison with Regulators; Custom Desktop/Mobile App

Third Party Services

• Continuing Education (via third party – Solomon exam prep)
• Email/Social Media Archiving (via third party – Presults)
• Marketing/Tech Support (via third party – FIN Lancer network)

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

• Communicating firm changes or add-on services to consultant
• Maintaining a compliance calendar/tasks list
• Storing books/records in print or electronic format
• Firm Activities - Trading, Client Accounts, and access rights*
• Managing Third Party subscriptions

Add-ons: If not already included, each package can be customized with the following for a fee:

Compliance

• Risk Assesment/Gap Analysis; Document Reviews; Forensic Testing; Monthly/Quarterly Reviews; Compliance Calendar/Task Setup; Policies and Procedures Training; Audit Prep/liaison with regulators; E-Mail Review/Tech Setup; Marketing Material Review; Liaison with Regulators; Custom Desktop/Mobile App

Third Party Services

• Continuing Education (via third party – Solomon exam prep)
• Email/Social Media Archiving (via third party – Presults)
• Marketing/Tech Support (via third party – FIN Lancer network)

Contact Us for more information about our servics

• Compliance Consulting
• Registration Services
• Compliance App/Licensing
• Disclosure App/Licensing
• Zapier Integrations

Third Party Partners

• Cybersecurity
• Email/Social Media
• Marketing/Tech Support
• Practice Management
• 13F Filings
• Continuing Education

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

• Communicating firm changes or add-on services to consultant

Process

• Paperwork process begins as the consultant sends an information request form to the firm contact and works to prepare the ADV Part 1 and 2 document for filings. After completing the initial drafts, the consultant sends drafts of ADV and supplementation forms to the client for review.
• Client Reviews documents.
• Consultant files the ADV forms.
• Examiner Reviews filing and responds for supplemental information.
• Consultant coordinates with client to address remaining items.
• Registration is completed and the firm can inquire on ongoing support.

Timeline*

• Filing/Paperwork period – 2-3 weeks
• Client Review – 1-2 weeks
• State Review – 1-2 weeks
• Completion: 30-45 days after state response

Third Party Services

• Continuing Education (via third party – Solomon exam prep)
• Email/Social Media Archiving (via third party – Presults)
• Marketing/Tech Support (via third party – FIN Lancer network)

Compliance

• Compliance Consulting
• Compliance/Disclosure Apps

Third Party Subscriptions

• Continuing Education Courses
• Email/Social Media Archiving
• Cybersecurity/Due Diligence Software
• Marketing/Tech Support
• 13F filings

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

• Communicating firm changes or add-on services to consultant

Process

• Paperwork process begins as the consultant sends an information request form to the firm contact and works to prepare the ADV Part 1 and 2 document for filings. After completing the initial drafts, the consultant sends drafts of ADV and supplementation forms to the client for review.
• Client Reviews documents.
• Consultant files the ADV forms.
• Examiner Reviews filing and responds for supplemental information.
• Consultant coordinates with client to address remaining items.
• Registration is completed and the firm can inquire on ongoing support.

Timeline*

• Filing/Paperwork period – 2-3 weeks
• Client Review – 1-2 weeks
• State Review – 1-2 weeks
• Completion: 30-45 days after state response

Third Party Services

• Continuing Education (via third party – Solomon exam prep)
• Email/Social Media Archiving (via third party – Presults)
• Marketing/Tech Support (via third party – FIN Lancer network)

Compliance

• Compliance Consulting
• Compliance/Disclosure Apps

Third Party Subscriptions

• Continuing Education Courses
• Email/Social Media Archiving
• Cybersecurity/Due Diligence Software
• Marketing/Tech Support
• 13F filings

Premium+ Unlimited Compliance/Disclosure technology for one person.

Compliance Calendar View sample tasks, add custom tasks, grant calendar access rights to other staff/consultant users - requires add-on fee per user. Guidelines/Tips/Videos, SEC/State Resources, RSS news feeds, Zapier Integrations, Forms/Templates, Procedures, Checklists, Cloud Storage.

Disclosure Client/Staff Portals (**unlimited staff/public app users)

Public Portal ADV, Marketing, Calendar, Privacy Policy/Continuity, Cybersecurity.

Staff Portal ADV, Marketing, Training, Code of Ethics, Calendar, Privacy Policy/Continuity, Cybersecurity.

Premium+ Limited Compliance/Disclosure technology for one person.

Compliance Calendar View sample tasks, add custom tasks, grant calendar access rights to other staff/consultant users - requires add-on fee per user. Guidelines/Tips/Videos, SEC/State Resources, RSS news feeds, Zapier Integrations, Forms/Templates, Procedures, Checklists, Cloud Storage.

Disclosure Client/Staff Portals (**up to 25 public and 5 staff disclosure app users)

Public Portal ADV, Marketing, Calendar, Privacy Policy/Continuity, Cybersecurity.

Staff Portal ADV, Marketing, Training, Code of Ethics, Calendar, Privacy Policy/Continuity, Cybersecurity.