Investment Adviser Resources – Page 14 – Connexien

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IA- SEC Form ADV Part 1A & Part 1B

IA- SEC Form ADV Part 1A & Part 1B

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IA- SEC Form ADV Parts 1 & 2 General Instructions

IA- SEC Form ADV Parts 1 & 2 General Instructions

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BD- California Index of Fees, Fines and Penalties (Form 510)

BD- California Index of Fees, Fines and Penalties (Form 510)

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IA- 2019 Investment Adviser Year-End Compliance Checklist

IA- 2019 Investment Adviser Year-End Compliance Checklist

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IA- Investment Adviser New Account Client Profile Form

IA- Investment Adviser New Account Client Profile Form

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IA- Investment Adviser New Hire Due Diligence Form

IA- Investment Adviser New Hire Due Diligence Form

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IA- Investment Adviser New Hire Onboarding Compliance Checklist

IA- Investment Adviser New Hire Onboarding Compliance Checklist

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IA- Compliance Certification for Independent Investment Adviser Activities (Long Form)

IA- Compliance Certification for Independent Investment Adviser Activities (Long Form)

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IA- Compliance Questionnaire for Independent Investment Adviser Activities (Short Form)

IA- Compliance Questionnaire for Independent Investment Adviser Activities (Short Form)

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IA- Investment Adviser Pre-Clearance Trade Request Form

IA- Investment Adviser Pre-Clearance Trade Request Form

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IA- 2019 Investment Adviser Compliance Calendar Update

IA- 2019 Investment Adviser Compliance Calendar Update

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IA- Investment Adviser Small Firm Cybersecurity Program

IA- Investment Adviser Small Firm Cybersecurity Program

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IA- SEC Registered Investment Adviser Compliance Manual (with Exhibits)

IA- SEC Registered Investment Adviser Compliance Manual (with Exhibits)

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IA- SEC Registered Investment Adviser Compliance Manual (without Exhibits)

IA- SEC Registered Investment Adviser Compliance Manual (without Exhibits)

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IA- Investment Adviser Books and Records Retention List

IA- Investment Adviser Books and Records Retention List

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IA- Investment Adviser Privacy Policy Statement Notification

IA- Investment Adviser Privacy Policy Statement Notification

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IA- Identity Theft Red Flags Event Disclosure Log

IA- Identity Theft Red Flags Event Disclosure Log

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IA- Investment Adviser Year-End Compliance Checklist

IA- Investment Adviser Year-End Compliance Checklist

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IA- Standard Financial Planning Agreement with Fee Schedule Exhibit

IA- Standard Financial Planning Agreement with Fee Schedule Exhibit

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IA- Standard Investment Advisory/Investment Management Agreement

IA- Standard Investment Advisory/Investment Management Agreement

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IA- California Verification Form Pursuant to CCR 260.241.2(b)

IA- California Verification Form Pursuant to CCR 260.241.2(b)

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BD- California Customer Authorization of Disclosure of Financial Records

BD- California Customer Authorization of Disclosure of Financial Records

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IA- California Minimum Financial Requirements Worksheet (Form 260.237.2)

IA- California Minimum Financial Requirements Worksheet (Form 260.237.2)

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Investment Adviser Initial/Annual Holdings Report

Investment Adviser Initial/Annual Holdings Report

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IA- Written Policies and Procedures Compliance Attestation

IA- Written Policies and Procedures Compliance Attestation

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IA- FinCEN Customer Due Diligence (CDD) Certification Form

IA- FinCEN Customer Due Diligence (CDD) Certification Form

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Connexien

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IA- Investment Adviser Customer Complaint Log

IA- Investment Adviser Customer Complaint Log

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IA- Private Securities Transaction Disclosure Statement

IA- Private Securities Transaction Disclosure Statement

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IA- Investment Adviser Political Contributions Log

IA- Investment Adviser Political Contributions Log

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IA- Investment Adviser Political Contribution Disclosure Statement

IA- Investment Adviser Political Contribution Disclosure Statement

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IA- Investment Adviser Gifts & Gratuities Disclosure Statement

IA- Investment Adviser Gifts & Gratuities Disclosure Statement

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IA- Outside Business Activities (OBA) Disclosure Statement

IA- Outside Business Activities (OBA) Disclosure Statement

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IA- Investment Adviser Code of Ethics (COE) (Rule 204A-1)

IA- Investment Adviser Code of Ethics (COE) (Rule 204A-1)

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IA- Investment Adviser Restricted Securities List (RSL)

IA- Investment Adviser Restricted Securities List (RSL)

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IA- Investment Adviser Insider Trading Statement of Understanding

IA- Investment Adviser Insider Trading Statement of Understanding

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IA- List of Designated Supervisory and Registered Personnel

IA- List of Designated Supervisory and Registered Personnel

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