RESOURCES FOR BECOMING A

REGISTERED INVESTMENT ADVISOR

February 2004
revised May 2004

Compiled by the
Security Analysts of
San Francisco
 Resources for Becoming a Registered Investment Advisor
Compiled by the Security Analysts of San Francisco
February 2004/ rev 26 May 2004

California Registration for Registered Investment Advisor

http://www.corp.ca.gov/forms/srdlist.htm#ia

Any person who wants to become an investment adviser in California may apply for an
investment adviser certificate by filing an application. The forms and instructions for filing an
application are found below. To begin, please review the Information to Assist Persons Applying
for an Investment Adviser Certificate (Form 260.231A) and Instructions for Completing and
Filing Application for Investment Adviser Certificate on Form ADV (Form 260.231). Once you
have reviewed these forms and have any questions concerning the application process, please
feel free to contact us at 1-866-ASK-CORP (1-866-275-2677).

Description Form Number

• Uniform Application for Investment Adviser Registration ("IARD" IARDForm ADV
Form ADV - Electronic Version)

Form ADV may be filed electronically with the Investment Adviser

Registration Depository ("IARD") and you are encouraged to do so.
To file electronically with IARD, you will need to obtain, complete
and return the entitlement forms. These forms may be found on the
IARD web site at www.iard.com. For further information, please
visit the IARD web site.

• Uniform Application for Investment Adviser Registration ("New New Form ADV
Form ADV -Paper Version)

The "New" Form ADV (paper version) should be used to file an

application for an investment adviser certificate, if you are not filing
the Form ADV electronically with the Investment Adviser
Registration Depository ("IARD"). Please refer to Notice for
California-Registered Investment Advisers for further information
• Uniform Application for Investment Adviser Registration ("Old" "Old" Form ADV
Form ADV)

Investment Advisers that have not yet transition to IARD and are
making amendments to an existing "Old" Form ADV should use the
"Old" Form ADV. Please refer to Notice for California-Registered
Investment Advisers for further information.

Resources – Becoming an RIA – Complied by SASF May 2004 Page 1 of 6

 • Notice of Withdrawal from Registration as Investment Adviser Form ADV-W

• Uniform Application for Securities Industry Regulation or Transfer Form U-4

• Uniform Termination Notice for Securities Industry Registration Form U-5

• Uniform Examination Request for non-NASD Candidates Form U-10

• Statement of Citizenship, Alienage, and Immigration Status for 250.61

Application of Department of Corporations License or Certificate

• Verification Form Pursuant to California Code of Regulations Rule 260.241.2(B)

260.241.2(B)

• Consent to Service of Process 260.165

• Instructions for Completing and Filing Application for Investment 260.231

Adviser Certificate on Form ADV

• Information to Assist Persons Applying for an Investment Adviser 260.231A

Certificate

• Information to Assist Persons Applying for an Investment Adviser 260.231B

Certificate - POST EFFECTIVE REQUIREMENTS

• Most Overlooked Items When Completing the Investment Adviser 260.231C

Application

• Capital and Reporting Requirements 260.237.1

• Minimum Financial Requirement Worksheet 260.237.2

• Capital Computation Worksheet

• Customer Authorization QR 500.261

• Electronic Versions of Investment Adviser forms available from the

SEC

• Index of Fees, Fines and Penalties ADM 510

Resources – Becoming an RIA – Complied by SASF May 2004 Page 2 of 6

As a service to members of the Security Analysts of San Francisco, the following listing of
commercial vendors is provided as a service to members. The society does not endorse nor
does it receive any consideration for the listing or if a member elects to use a vendor’s
services. The society welcomes comments and suggestions of additional firms or individuals to
the list.

Registration and Compliance Consultants

Marketcounsel.com
Brian Hamburger, JD
745 Queen Anne Road
Teaneck, NJ 07666-3332
Tel: (201) 836-2700
Fax: (201) 836-8815

RIA REGISTRATION
Peter McPhee
Tel: (386) 760-2116 (Florida-winters)
Tel: (208) 773-5601 (Idaho-summers)

TDAcompliance
2219 Buchanan Road, Suite 9
Antioch, CA 94509
Tel: (925) 778-2390
Fax: (925) 778-2428
Email: info@tdacompliance.com
.

Investment Marketing Consultants

Jamie A. Campbell
Investment Marketing Inc.
836 Montgomery Street
San Francisco, CA 94133
(415) 956-3745

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Trading and Custody Options

Ameritrade Advisor Services

Stacia Hatfeld
San Francisco, CA
Tel: (888) 435-1080

Fidelity Institutional
Pablo Bizack
Sales Executive
350 California, 4th floor
San Francisco, CA 94104
Tel: 415 445-7109 / 800 771-9028
Mobile: 415 517-1305
Fax: 415 445-6834
Email: Pablo.bizjack@fmr.com

Diane Ferro
First Trust
https://www.datalynx.com/
diane.ferro@ftc.fiserv.com
408-230-3600

Partnervest.com
Santa Barbara, CA
Tel: (805) 966-1266

SEI Investments Company

One Freedom Valley Drive
Oaks, Pa. 19456
Tel: (610) 676-1000

Charles Schwab & Company

Lance Oman
Relationship Manager,
NorCal Team
425 Market St.
San Francisco, CA 94105
Tel: 415-667-2515
Lance.Oman@Schwab.com

Trust Co. of America

Tim Lewis
Trust Co. of America
2661 Van Cover Street
Carlsbad, CA 94008

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 Tel: (760) 720-2268
Email: tlewis@trustamerica.com
http://www.trustamerica.com/investment.htm

Waterhouse Institutional Sales

Mark Sosik
Vice-President-Institutional Sales
400 Montgomery Street, Suite 100
San Francisco, CA 94104
Tel: 800-934-6134 x81002
Fax: 415 434-0147
Email: marksosik@tdwaterhouse.com
http://www.tdwaterhouseinst.com/

Attorneys

Charles E. Hall, Esq.

2219 Buchanan Road, Suite 9
Falk & Rabkin
Antioch, CA 94509
(925) 524-9036

Douglas Hammer
Shartisis, Friese & Ginsburg LLP
Eighteenth Floor
One Maritimza Plaza
San Francisco, CA 94111
Tel: 415 421-6500

Mark D. Whatley, Esq.

Howard Rice Nemerovski Canady
Three Embarcadero Center, 7th Flr.
San Francisco, CA 94111-4065
(415) 434-1600

Portfolio Management and Reporting Software

Advent Software
301 Brannan Street
San Francisco, California. 94107
Sales: (800) 727-0605
Reception: (800) 685-7688

Captools Co.
22500 S.E. 64th Place
Issaquah, WA 98027-8111

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 Phone: 800.826.8082 - Fax: 425.313.5647

Centerpiece
(available to Schwab advisors only)
Schwab Performance Technologies™
wo Hannover Square, 13th Floor
434 Fayetteville Street Mall
Raleigh, NC 2760

DBCams+FCSI
14 Commerce Drive
Oakland, MD 21550
Tel: (877) 432-2267
Fax: (301) 334-2097
sales@fcsi.com

FIN (Financial Information Network)

6656 Valjean Avenue/P.O. Box 7954
Van Nuys, CA 91409-7954
Telephone: 818.782.0331
Fax: 818.376.4095

Best Practices Report

If you are an advisor, you may wish to complete a survey at Tiburon Advisors
(http://www.fabestpractices.com/) and receive a report of “best practices” of financial advisors at
no charge.

The Society welcomes your comments and suggestions for additions and corrections. Please
email to info@sasf.org.

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