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Services
Virtual Compliance Department
Starting A New RIA
About Us
The Venturis Team
Blog
Sign in
Contact Us
Related Person
This input page corresponds to Form ADV Part 1 - Schedule D of Item 7 (Related Persons).
Your Name:
Legal Name of Related Person:
Business Name of Related Person:
Related Person's SEC Number:
Related Person's CRD Number:
Related Person's CIK Number:
Optional Field
Check if Related Person is a broker-dealer, municipal securities dealer, or government securities broker or dealer
Check if Related Person is Other Investment Advisor
Check if Related Person is a registered municipal adviser
registered security-based swap dealer
major security-based swap participant
commodity pool operator or commodity trading advisor (whether registered or exempt from registration)
Futures Commission Merchant
Banking or thrift institution
Trust company
Accountant or accounting firm
Lawyer or law firm
Insurance company or agency
Pension consultant
Real estate broker or dealer
sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles
sponsor, general partner, managing member (or equivalent) of pooled investment vehicles
Do you control or are you controlled by the related person?
Yes
No
Are you and the related personunder common control?
Yes
No
Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?
Yes
No
If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the presumption that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person?
Yes
No
If the related person is an investment adviser, is it exempt from registration?
Yes
No
If "Yes," under what exemption?
Is the related person registered with a foreign financial regulatory authority ?
Yes
No
Do you and the related person share any supervised persons?
Yes
No
Do you and the related person share the same physical location?
Yes
No
Submit