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December 31 year end?

Year end AUM broken out by discretionary and non-discretionary assets should be confirmed – Do not include broker dealer assets if your firm is a hybrid – RIA & BD. The regulators do not look kindly on this especially if the additional assets move your firm from state to SEC registration. Meet with your senior managers and discuss any changes the firm has experienced in the past 12 months and changes being contemplated in the New Year. You should be prepared for annual ADV Amendments. Call RegMaven to discuss our economical and timely turnaround process. We are prepared to take this project off your plate so you can continue to plan your 2015 compliance projects and assess resources.

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