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The Advisor’s Resource (“TARI”) provides a range of services to our clients

The Advisor’s Resource (“TARI”) provides a range of services to our clients, depending on their immediate and long-term needs.  Some clients choose to retain us on an as-needed hourly basis, while others prefer the budgetary certainty of an annual contract including a mix of services. 

We have also developed a multi-year progression of services for SEC registered entities, assisting or augmenting the compliance staff with a planned compliance implementation and evaluation program.


Products and services provided by The Advisor’s Resource include:

REGISTRATION
TARI manages the registration process of investment advisory firms at the state or federal level from start to finish. Deliverables include a “roadmap” of the process, draft and filed Forms ADV I and II, U-4s, proof of registration and a “Now that you are registered” information package. This is charged on a fixed-fee basis.

CODE OF ETHICS AND POLICIES AND PROCEDURES MANUAL
TARI will create and fully customize manuals meeting either state or federal requirements. We conduct a lengthy interview, submit a draft, review your comments and provide you with a final copy in three media, including Word so you can change the manual as needed. Manuals are organized by topic, contain numerous forms and checklists and are easily navigated. We also provide a customized compliance calendar with each manual.  Creation of both state and federal manuals are charged on a fixed-fee basis.  Further consultation and changes are charged on an hourly basis.

ANNUAL REVIEWS
TARI can conduct federally required annual reviews onsite or remotely, depending upon a client’s size and complexity. We review documents before and during an onsite visit, and interview the CCO at length.  Deliverables include a written annual review report and a written risk assessment. Annual reviews are charged on a fixed-fee basis.

MOCK EXAMINATIONS
TARI will conduct mock examinations for firms registered at either the state or federal level, reviewing documents remotely and conducting additional document reviews and extensive interviews of staff onsite.  We work from current SEC and state examination document request lists. Clients may opt to receive a written report or to apply a portion of the fee to consulting hours to remedy findings. Either option will include a “to do” list.  Mock examinations are charged on a fixed-fee basis. 

DESIGN AND IMPLEMENTATION OF TESTING PROGRAM
TARI works closely with federally registered clients to create a customized compliance testing program that is both effective and efficient. The documentation process is streamlined to ease the process of creating the annual review. We establish a testing calendar which is then revised during the year depending on test results, regulatory and firm developments. We work with clients on a monthly basis to develop a new or assess an established testing program. Testing programs are charged on a fixed-fee basis for an annual contract.  

CCO SPRING TRAINING
TARI conducts a one-day annual seminar for federally registered chief compliance officers focusing on current compliance issues. Discussion covers recent SEC examinations, recent and pending regulations, recent examination findings and best practices. The focus is on the “how to’s” of compliance, rather than the “have to’s.” Attendance is charged on a fixed-fee basis. 

PREPARATION FOR SEC EXAMINATIONS
TARI assists clients who have been notified of a pending examination by reviewing the document request list, providing a framework for responding to the list, coaching the CCO and staff, reviewing produced documents and drafting responses. We provide some or all of this assistance remotely or onsite.  Such support is all provided on an hourly basis and may include extra fees for short notice.

RESPONSES TO DEFICIENCY LETTERS
All examinations conducted by the state or the local SEC office generate deficiency letters.  We work with clients to draft responses and prepare necessary attachments in a timely and accurate manner. This may also include consultations with and review by legal counsel. This work is charged on an hourly basis. 

ANNUAL MAINTENANCE
TARI manages both the process of updating the Form ADV I and seeing that all registration renewal fees are paid and booked correctly according to schedule. This is charged on a fixed-fee basis, depending upon the date of receipt of payment and data.

ANNUAL COMPLIANCE MEETINGS
Some of our client’s request that we either run the annual compliance meeting for their staff or that we present a portion of the meeting, for which we charge on an hourly basis. 

DOCUMENT REVIEW
Often when an ongoing firm engages our services, we conduct a full review of all of their pertinent documents. Document review may be charged on an hourly or fixed-fee basis, and document revisions are charged hourly.

ONSITE AND REMOTE CONSULTING
TARI consults with clients on an ongoing basis by conferring remotely, or we may spend time in a client’s office.  We prefer to meet with our client’s onsite at least annually, although there are exceptions. Such consulting may entail assisting the CCO, training administrative staff, conferring regarding new business strategies, reviewing or enacting compliance testing, reviewing procedures, etc. Such consulting may be on a fixed-fee basis with an annual contract, or hourly. 

13F, FORM D, U-4, U-5 AND AMENDED ADV FILINGS
TARI will draft and file all such filings for clients for fixed fees, except for amendments to Schedule F of the Form ADV, which is charged on an hourly basis.
 
QUARTERLY OR MONTHLY CCO SUPPORT
Some of our clients elect to contract with us for periodic onsite visits and/or regularly scheduled conference calls, ensuring that tasks are completed and that we are aware of all changes occurring in the firm’s operation. This support is usually charged on a fixed-fee basis with an annual contract and may or may not be combined with developing or reviewing a firm’s testing program. 

DUE DILIGENCE
TARI conducts compliance due diligence on investment advisors for mergers and acquisitions or for evaluation as potential sub-advisors. This is charged on a case-by-case basis.  

SOLICITOR DOCUMENTS
TARI registers individuals and firms soliciting for other investment advisors, providing a state-compliant manual. We also provide required documents to ensure that the solicitor relationship is appropriately recorded and acknowledged by the client.  

EDITING AND PROOFREADING
Our team is available for professional editing and proofreading of your materials (e.g., newsletters, brochures, websites, etc.). We edit with compliance rules in mind, as well as for grammar, consistency, syntax and typographical errors. This service is charged on an hourly basis.  

DISASTER RECOVERY PLAN ASSISTANCE
We understand that this can be a major undertaking, so we provide a framework for developing workable plans over time. This work is usually included as we develop a policies and procedures manual.

LIAISON WITH ADMINISTRATORS, AUDITORS AND LEGAL COUNSEL
We truly want to be part of your team, and we are available to consult with any of your other team members as appropriate. We do not incur extra costs without your permission but will inform you when we believe additional support is necessary. We have strong relationships with local legal counsel, administrators and auditors, and we can work closely with them to provide you with coordinated and efficient assistance.
  
FEES
Fixed fees are set prior to the engagement and are determined based on the service provided and the size and complexity of the client. Fixed fees are usually charged after the service has been provided but may be charged in advance (e.g., registration).
Hourly fees are charged on a monthly basis and are set according to the level of the professional providing the service. We make every effort to work efficiently on your behalf and to assign work to the appropriate, and most economical, professional team member.

Annual contracts are available on a customized basis, where we agree with a client about what services will be provided in the next 12 months.  Fees are usually charged quarterly in advance. Work provided exceeding the agreement (for example, if a firm should be examined during the year) is charged on an hourly basis.