ADV Documents

ADV Part 2

ADV Part 3

IA Agreement

Compliance Manual

Compliance Manual

Code of Ethics - Personal Security Trading

Advisor Responsibility Summary

Code of Ethics

Cyber Security Policy

Diminished Capacity Checklist

Elder Policy.

Compliance Documents

Annuity Rollover Form

Sample Disaster Recovery Plan

Sample Business Continuity Plan

Outside Business Activity

ERISA Rollover Form

Diminished Capacity Checklist

Closed Account Form

Objective and Risk- Wealthscape Account Classifications - Custom Profile

Final Disclosures

Concentration Risk Approval

Client Review Material

Data Gathering Form

Long Risk Profile

Short Risk Profile

Investment Policy Statement Template

Bay Colony Estate Appointment Guide

Client Questionnaire - Interests and Insights

Commitment to Wealth Management

Financial Planning Risks

Life Changes Checklist- Client Review Meeting

New Client Questionnaire

Wealth Management Guide

Portfolio Planning Process

How to Read Fidelity Statement

Risk Tolerance Questionnaire

Client Risk Tolerance and Risk Capacity

Process of Determining Client Risk Tolerance & Risk Capacity

Client Account Information Request

Retirement Plan Services Agreement 2022

Alternative Investment Form

Interval Fund Acknowledgement Form

Client Account Information

Closed Relationship Form