Account Type Review

Account Type Review is a compliance report that displays taxable vs. nontaxable types of accounts for a specified date. Information on the report includes account number and type, account inception date and market value.

Allocation Models Detail

The Allocation Models Detail is a compliance report that lists all models within the system with allocation details. Information on the report includes allocation type, specific allocation items with associated weighting, tolerance levels, upper limits, lower limits and benchmarks associated with each allocation category.

Billing Methods Detail

Billing Methods Detail is a compliance report that lists all system wide billing methods and associated details. Information on the report includes billing frequency, billing in advance / arrears, flat or minimum fee and tiering with rates applied to each tier.

Client By State

Client By State is a compliance report that lists all clients within the system on a specified date, sorted by state.

Compliance Review - Account Specific

Compliance Review - Account Specific is an account level compliance report that displays system wide accounts with multiple fields related to compliance issues. Information on the report includes account number and type, taxable/nontaxable, Broker / Dealer affiliation, trading discretion, proxy voting status, familial tie to firm, and type of fee agreement associated with the account.

Compliance Review - Client Specific

Compliance Review - Client Specific is a client level compliance report that displays a system wide client listing with multiple fields related to compliance issues. Information on the report includes client's home state, client start date, date of last delivery privacy policy date and ADV offering, date of last client and policy review, and date of client termination.

Compliance Review by Account

Compliance Review by Account is an account level compliance report that displays system wide accounts with multiple fields related to compliance issues. This report is very similar to Compliance Review ? Account Specific, but also includes account inception date and market value on a specific date. Information on the report includes account number and type, account inception date, taxable / nontaxable, Broker/Dealer affiliation, trading discretion, type of fee arrangement, familial tie to firm and market value on a specific date.

Discretionary vs. Non-Discretionary

Discretionary vs. Non-Discretionary is a compliance report that groups accounts according to the firm?s discretionary (or non-discretionary) authority on the account. Other information on this report includes account number and type, inception date and market value on a specified date.

Entering and Exiting Clients

Entering & Exiting Clients is a compliance report that lists all clients added or terminated within a specific date range. Information on this report includes enter date, end date, market value and reason for termination.

Firm Related Accounts

Firm Related Accounts is a compliance report that lists accounts with familial ties to the firm. Information on this report includes account number and type, inception date, market value and relationship to the firm on a specified date.

Holdings by Broker/Dealer

Holdings by Broker/Dealer is a compliance report that lists client accounts sorted by broker/dealer. ÿInformation on this report includes account number and type, inception date and market value on a specified date.

Hot Issue Review

Hot Issue Review is a compliance report that lists client accounts holding securities that are flagged as hot issues. Information on this report includes account number, purchase date by tax lot, quantity, purchase price, tax cost, and market value on a specified date.

Performance Based Compensation by Account

Performance Based Compensation by Account is a compliance report that displays accounts with associated performance-based fees on a specified date. Information on this report includes account number and type, inception date, market value and a text field for the performance based terms.

Privacy Policy Review, Reg. S-P

The Privacy Policy Review Reg. S-P is a compliance report that lists the last delivery date of the firm's privacy policy, arranged alphabetically by client.

Proxy Voting Review

Proxy Voting Review is a compliance report that displays firm proxy voting authority status on all client accounts. Other information on this report includes account number and type.

Wrap Fee Review

Wrap Fee Review is a compliance report that lists accounts with associated wrap fee arrangements. Information on this report includes account number and type, broker dealer, inception date, market value and wrap fee terms.

Written Agreements Review

The Written Agreements Review report is a manageWritten Agreements Review is a compliance report that lists clients and associated dates of key events or documents such as the last portfolio review, advisory agreement, holdings review, ADV offering, policy statement, policy review and delivery of privacy policy.