Thursday, March 5, 2015

2015 - ADV Amendments/Financial Statements Due*

Please note the following deadlines (calendar based fiscal year end firms*):  

ADV Amendment due - 03/31/2015 - 90 days after firms fiscal year-end*
  • State-registered firms - determine if your firm must also file financial statements**
  • SEC-registered firms -  filing fees are also due at the time of annual amendment (no financial statements due)

Financial Statements due - 03/31/2015 - 90 days after firms fiscal year end**
  • California (state registrants only) requires financial statements for discretionary managers and/or advisors with custody. 
  • New York (state registrants only) requires financial statements for state registered advisors.
  • Florida (state registrants only) requires financial statements (audited) for advisors with custody and/or (unaudited) for advisors with no custody or discretion - mail directly to office
  • Alabama (state registrants only) requires financial statements (audited) - within 60 days for firm's fiscal year end 
**Net capital financial requirements are for firms home states only (location of main office).  

Contact me for information on other states. 

Advisors adding clients in new states:
  • Please add fees directly to web CRD/IARD daily account and let me know so that we can complete the annual filing process at the same time. 
Thank you,

2015 - Advisor Website Services (New)

For 2015, we are now offering website services. 


Tier 1 – Premium: $2299
·         Custom Design
·         Pages (up to 25 pages) 
·         Compliance/Advertising Review
.         Blog
$299 discount w/ other compliance services

Tier 2 – Intermediate: $1699
.         Custom Design
·         Pages (up to 15 pages) 
·         Compliance/Advertising Review
.         Blog
$199 discount w/ other compliance services

Tier 3- Basic Compliance: $1099
·         Custom Design
·         Pages (up to 7 pages) 
·         Compliance/Advertising Review
$ 99 discount w/ other compliance service

Maintenance Fees:  first six months included! 
$250 / every six months, or  $500 / annually
Additional Page(s):
·     $100/pg.

Other SEO services:
·         Blog Content, SEO, or social media assistance available through one of our partners.

2015 - Our Website Consultant - Eduardo de la Torre

Meet our website consultant - Eduardo de la Torre 

Eduardo has 5 years of website development/management experience. In 2009, he began his career as a Web Developer in GDL Systems, a recognized web development company in Guadalajara, Mexico. Soon afterwards, he was promoted to a Project Manager due to his ability to manage complex tasks and to learn new system processes. In June 2014, Eduardo began his work as a freelance Web Developer/Consultant in the Bay Area.  He speaks Spanish and English. In his spare time, he likes to go running, hiking, mountain biking, out with friends, and travelling to new places.

Eduardo will be helping us on a part-time basis to service the need of our clients seeking website support.