Forms

This tool can help staff and clients decide the best option when rolling over funds

Here's a tool to help you track off-channel communications

This is the revised Form PF as approved by SEC commissioners in May 2023

This is a template for a branch office supervision program

Check out a peer's matrix for finding potential political contributions by staff

A peer shares the firm's form for authorizing the destruction of firm records

This form is used annually, completed by staff and scoured by compliance to look for new potential conflicts of interest

A peer grants RCW permission to share with you the firm's account review form

This is an example of a form staff would complete to acknowledge that they will abide by the firm's compliance P&Ps

Throughout its history, Ensign Peak was required to file Forms 13F identifying and providing certain information about the Section 13(f) Securities that it managed for ...