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Review Form ADV Part 2A for Regulatory and Disclosure Deficiencies — Issue Identification Memorandum

Funds & Asset ManagementForm ADVinvestment-adviserSEC-examinationdisclosure-review

Instructions

Review the attached Form ADV filings, supporting records, and personnel files for regulatory deficiencies and produce a memorandum organized by Item number. Output: `adv-review-memorandum.docx`

Work type: Review — Mark up, redline, or critique an existing document.

Deliverables (1)

  • adv-review-memorandum.docx

Reference documents (8)

  • DOCX
    compliance-manual-excerpts.docx
    65.8 KB
    Open
  • DOCX
    form-adv-part-1a-excerpts.docx
    45.6 KB
    Open
  • DOCX
    form-adv-part-2a-brochure.docx
    55.0 KB
    Open
  • DOCX
    form-adv-part-2b-greenleaf.docx
    40.7 KB
    Open
  • DOCX
    form-adv-part-2b-sato.docx
    41.3 KB
    Open
  • DOCX
    ridgeline-acquisition-materials.docx
    46.4 KB
    Open
  • DOCX
    sato-personnel-file.docx
    42.3 KB
    Open
  • XLSX
    soft-dollar-log-2024.xlsx
    13.9 KB
    Open

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Rubric (52)

Each criterion is judged independently as pass or fail. The task scores 1.0 only if every criterion passes.

52 of 52 criteria