Report a New Service Provider | Your RIA Compliance

Your Name:

Name of Service Provider:

Date of Agreement:

Brief description of their services:

Will this third-party provide marketing services?

Will this third-party provide any investment advisory functions?

If you're not certain, the next question should be helpful.

Select any investment advisory functions this service provider will perform.

If "Other," briefly describe.

Check box if the firm, or any personnel, have an economic interest in the service provider.

For example, shared ownership, someone made a equity contribution or private investment, etc.

Brief description of the economic interest.