Compliance
Regulatory calendar, Form ADV tracking, and compliance obligations.
28
Overdue
0
Due within 30 days
3
Complete
Castellano — Charitable Remainder Trust Review
Other
CRT (Charitable Remainder Trust) structure review with estate attorney. Align with annual gifting and charitable legacy goals.
Castellano — Annual Risk Profile Review 2026
Annual Risk Profile Review
Annual comprehensive review — portfolio performance, estate plan update, tax loss harvesting opportunities Q1 2026.
Steinberg-Cohen Family — Form CRS 2026
Form CRS · SEC Rule 17a-14
Form CRS delivery required for all retail investors.
Steinberg-Cohen Family — Advisory Agreement 2026
Form ADV · Investment Advisers Act §202(a)(11)
Advisory Agreement required for all active advisory relationships.
Morrison Household — Form CRS 2026
Form CRS · SEC Rule 17a-14
Form CRS delivery required for all retail investors.
Morrison Household — Advisory Agreement 2026
Form ADV · Investment Advisers Act §202(a)(11)
Advisory Agreement required for all active advisory relationships.
Castellano Family — Form CRS 2026
Form CRS · SEC Rule 17a-14
Form CRS delivery required for all retail investors.
Castellano Family — Advisory Agreement 2026
Form ADV · Investment Advisers Act §202(a)(11)
Advisory Agreement required for all active advisory relationships.
Raman Family — Form CRS 2026
Form CRS · SEC Rule 17a-14
Form CRS delivery required for all retail investors.
Raman Family — Advisory Agreement 2026
Form ADV · Investment Advisers Act §202(a)(11)
Advisory Agreement required for all active advisory relationships.
Delacroix Household — Form CRS 2026
Form CRS · SEC Rule 17a-14
Form CRS delivery required for all retail investors.
Delacroix Household — Advisory Agreement 2026
Form ADV · Investment Advisers Act §202(a)(11)
Advisory Agreement required for all active advisory relationships.
Chen-Morrison Family — Form CRS 2026
Form CRS · SEC Rule 17a-14
Form CRS delivery required for all retail investors.
Chen-Morrison Family — Advisory Agreement 2026
Form ADV · Investment Advisers Act §202(a)(11)
Advisory Agreement required for all active advisory relationships.
Washington-Briggs Household — Form CRS 2026
Form CRS · SEC Rule 17a-14
Form CRS delivery required for all retail investors.
Washington-Briggs Household — Advisory Agreement 2026
Form ADV · Investment Advisers Act §202(a)(11)
Advisory Agreement required for all active advisory relationships.
O'Connell Family Trust — Form CRS 2026
Form CRS · SEC Rule 17a-14
Form CRS delivery required for all retail investors.
O'Connell Family Trust — Advisory Agreement 2026
Form ADV · Investment Advisers Act §202(a)(11)
Advisory Agreement required for all active advisory relationships.
Nakamura Household — Form CRS 2026
Form CRS · SEC Rule 17a-14
Form CRS delivery required for all retail investors.
Nakamura Household — Advisory Agreement 2026
Form ADV · Investment Advisers Act §202(a)(11)
Advisory Agreement required for all active advisory relationships.
Whitfield Family — Form CRS 2026
Form CRS · SEC Rule 17a-14
Form CRS (Client Relationship Summary) delivery required for all retail investors. Deliver and obtain acknowledgment.
Whitfield Family — Advisory Agreement 2026
Form ADV · Investment Advisers Act §202(a)(11)
Advisory Agreement required for all active advisory relationships. Complete and file to maintain regulatory standing.
Delacroix — FATCA Disclosure (W-8BEN-E)
Other
FATCA Form W-8BEN-E required for French-sourced assets. Working with international tax counsel — Grunfeld Desiderio. Mapped to Other — no FATCA item_type enum.
Annual CCO Compliance Review 2026
CCO Review · SEC Rule 206(4)-7
Annual review of compliance policies and procedures per Rule 206(4)-7. Review all client-facing disclosures, conflict of interest policies, and supervisory procedures.
Delacroix — KYC Refresh (citizenship docs)
KYC Review
KYC review triggered by citizenship status change documentation update.
Morrison — KYC Onboarding
KYC Review
KYC documentation collection required before account opening. Identity verification and AML screening pending.
O'Connell Family Trust — Annual Risk Profile Review
Annual Risk Profile Review
Annual risk profile refresh — Patrick turned 70 in Nov 2025. RMD analysis required. Last review Aug 2024.
Washington-Briggs — Liquidity Event Planning (Series B)
Other
Pre-liquidity event planning — Series B secondary sale expected Q3 2026. Tax optimization and diversification plan in progress.
Washington-Briggs — Form ADV Part 2 Annual Delivery 2026
Form ADV
Annual Form ADV Part 2 delivered via client portal. Client acknowledgment received 2026-03-28.
Form ADV Annual Amendment 2026
Form ADV · SEC Rule 204-1, Investment Advisers Act
SEC annual amendment due within 90 days of fiscal year end (Dec 31, 2025). File via IAPD.
Form CRS Annual Delivery — Henderson Household
Form CRS · Reg BI, SEC Rule 17a-14
Annual delivery of Form CRS (Client Relationship Summary) to Henderson household. Required for Reg BI compliance.
Steinberg-Cohen Family — Annual Privacy Notice 2026
Privacy Notice · Reg S-P
Annual privacy notice delivery required under Reg S-P.
Morrison Household — Annual Privacy Notice 2026
Privacy Notice · Reg S-P
Annual privacy notice delivery required under Reg S-P.
Castellano Family — Annual Privacy Notice 2026
Privacy Notice · Reg S-P
Annual privacy notice delivery required under Reg S-P.
Raman Family — Annual Privacy Notice 2026
Privacy Notice · Reg S-P
Annual privacy notice delivery required under Reg S-P.
Delacroix Household — Annual Privacy Notice 2026
Privacy Notice · Reg S-P
Annual privacy notice delivery required under Reg S-P.
Chen-Morrison Family — Annual Privacy Notice 2026
Privacy Notice · Reg S-P
Annual privacy notice delivery required under Reg S-P.
Washington-Briggs Household — Annual Privacy Notice 2026
Privacy Notice · Reg S-P
Annual privacy notice delivery required under Reg S-P.
O'Connell Family Trust — Annual Privacy Notice 2026
Privacy Notice · Reg S-P
Annual privacy notice delivery required under Reg S-P.
Nakamura Household — Annual Privacy Notice 2026
Privacy Notice · Reg S-P
Annual privacy notice delivery required under Reg S-P.
Whitfield Family — Annual Privacy Notice 2026
Privacy Notice · Reg S-P
Annual privacy notice delivery required under Reg S-P. Deliver before year-end.
Patrick O'Connell — RMD Calculation & Distribution
Other
Required Minimum Distribution calculation and distribution initiation for Patrick O'Connell (age 70). Mapped to 'Other' — no dedicated RMD item_type enum.
Annual Risk Profile Review — All Active Households
Annual Risk Profile Review · FINRA Rule 2111, Reg BI
Review and refresh risk profiles for all active households. Profiles older than 365 days are flagged as stale. FINRA Rule 2111 compliance.