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Disclosure App

Deliver disclosures to clients, staff, solicitors, and prospects on a desktop or smartphone.

Features Available

On-the-go disclosures for your clients, staff, prospects, investors, and vendors

Dashboard

Public or Staff

Compliance Calender

Regulatory Updates

Training/Procedures

Staff Updates or Onboarding

Continuity/Privacy

Emergency/Disaster Procedures

ADV Disclosures

Overview firm brochure

Code of Ethics Disclosures

Quarterly or Ongoing reporting for Access Persons.

Cybersecurity

Distribute Data Security provisions.

Marketing/Services

Advertising Requests and Approvals.

SEC Firms should adhere to provisions as set forth with New Marketing Rule 206(4) -1 in cases where the “adviser has participated in the creation or dissemination of an advertisement, or where an adviser has authorized a communication, the communication would be a communication of the adviser.”

(Ref. SEC Marketing Rules)

State firms please confirm if marketing guidelines are aligned with the SEC marketing rule. Under Rule 206(4)-3 and similar state rules, we will not directly or indirectly provide any matchmaking, paid promotion, or find an advisor services through our website. An advisor chooses to direct communications and post marketing materials on its own accord.