Tell us about your advisory firm

About 10 minutes. If you are unsure, pick the closest answer. Anything not fully in place goes on your gap list with an owner and a date, so the program never says you do something you don't. Next you pay $249 through Stripe, and your program opens right after.

1. Your firm

Firm legal name

CRD number (optional)

Street address (optional)

City

Home state

Other states you are registered in (two-letter codes, e.g. TX, FL; blank if none)

Staff and contractors, including you

Client households

Assets under management

Office locations

Anyone work remotely?

How many people's information do you keep? (clients, former clients and household members in your files, all years, paper and electronic)

Rough number (optional; if given, it decides)

Program effective date

The 5,000 line matters: under 16 CFR 314.6, firms below it are exempt from four parts of the FTC Safeguards Rule. Your program says which. Your state rule has no size exception.

2. Systems

Custodian(s)

CRM (blank if none)

Portfolio or planning software (blank if none)

File storage

E-signature (blank if none)

Email archiving vendor (blank if none)

Outside IT provider?

IT provider name (if yes)

3. Safeguards in place today

MFA on email and custodian log-ins

Full-disk encryption on laptops

Backups tested by restoring

Everyone has their own log-ins

Security training at least yearly

Written incident plan staff know

Reviews of vendors that hold client data

4. People

Chief Compliance Officer

Their title (optional)

Qualified Individual (the person in charge of security under 16 CFR 314.4(a); leave blank if it is the CCO)

Their title (if not the CCO)

Who approves the annual review (owner or managing principal; blank = the CCO)

Their title (optional)

Email for your receipt and program

5. Privacy

Do you share client information with nonaffiliated companies beyond servicing accounts?

How you deliver your privacy policy

By continuing you agree to the terms. Starting program from Stratum Tech Group. Review and adopt it before use. Not legal advice, not an audit, and not by itself compliance.