ADV Documents

ADV Part 2A-2Bs - April 2025

ADV Part 3

IA Agreement

Compliance Manual

Compliance Manual

Code of Ethics - Personal Security Trading

Advisor Responsibility Summary

Code of Ethics

Cyber Security Policy

Compliance Documents

ERISA to 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

Client Budgeting Review

One Page Data Gathering Form

Client Profiling & Suitability Review Form

Our Investment Approach

Client Risk Profile

Vault Checklist - Client Important Documents & Information

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

Client Suitability Analysis

Wealth Management Guide

Portfolio Planning Process

How to Read Fidelity Statement

Risk Tolerance Questionnaire

Client Risk Tolerance and Risk Capacity

Client Estate Planning Questionnaire

Client Account Information Request

Retirement Plan Services Agreement 2022

Alternative-Investment-Form

Interval Fund Acknowledgement Form 

Advisor Confirmation of Client Profile

Closed Relationship Form

Client Net Worth Classification

Client Risk Profile- Basic