Form ADV Toolkit

Recent Form ADV amendments continue the Big Data trend. Form ADV continues to expand ever more rapidly as data mining and handling techniques by regulators allow for the utilization of Form ADV for risk measurement. Ease the burden by signing up to receive access to our free Form ADV toolkit. The toolkit includes valuable content such as templates, checklists and commentary from our consulting team to make this process as painless as possible – whether you’re filing your firm’s Form ADV for the first time or the 20th.

Sign up and you’ll receive:

  • Ascendant Summary of 2017 Form ADV Changes
  • Ascendant Checklist of New Required Information in 2017
  • Ascendant Form ADV ComplianceCast and Powerpoint presentation
  • Ascendant Part 2A Template
  • Ascendant Part 2B Template
  • Ascendant Checklist to Review Part 2A
  • Ascendant Checklist to Review Part 2B
  • And more!
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Latest Content

Past Conference Speaker Inspiration for The Rock’s Next Blockbuster

If you attended Ascendant’s 2016 San Diego conference,  you will no doubt remember our outstanding keynote speaker, Jeff Glasbrenner. Jeff is a below-the-knee amputee who was fresh off becoming the first American amputee ever to scale Mount Everest. In San Diego, he spoke about turning challenges into triumphs, and about succeeding in the face of … Continued

Relief at Last – New Guidance on Inadvertent Custody

The SEC quietly provided additional guidance to the industry about inadvertent custody in supplemental responses to the Custody Rule FAQs. In Question II.11 and II.12, the SEC stated that it would not recommend enforcement against an adviser that does not have a copy of a client’s custodial agreement, and does not know or have reason … Continued

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Ascendant works together with clients to identify and assess critical needs through customized plans. If you need assistance with compliance functions, regulatory services, cybersecurity or technology tools, we’d love to speak with you.