Deals & People November 5, 2010

EPIC Announces Change in Leadership

EPIC Advisors, a defined contribution recordkeeper, announced that Jim Genthner will be the new president.
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A news release said the current president of the Rochester, New York-based firm, Robert F. Judd, will now focus on projects to assist the firm in developing new business strategies and distribution opportunities in a strategic partnership with the firm. He has been president since 2005.   

Jim Genthner, Executive Vice President, will immediately take over Judd’s role as president, managing day-to-day company operations.

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Judd will remain with EPIC through April as he develops his own wholesaling firm to create partnerships with retirement service provider companies that would use EPIC recordkeeping services.

Products November 5, 2010

Form ADV 2 Template Available for RIAs

The “Form ADV Part 2 Brochure Template” will help investment advisers with the new required format based on the recent Securities and Exchange (SEC) rule update.
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Created by The Consortium, a company offering compliance support to professionals in the financial services industry, the ADV 2 Brochure is delivered in a Microsoft Word format for customization.

The template includes:

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  • Headings for each section required by the SEC and state regulators
  • Table of Contents linked to the section headings for automatic table updates
  • Text boxes for each section to be completed with instructions in plain view until you are ready to delete them from your final draft
  • Detailed sample narrative for each section for your easy modification and customization for your practice for Parts 2A (Firm Brochure) and 2B (Brochure Supplement for supervised persons)
  • Links to IARD websites (SEC and FINRA) and to the adopting release giving you full access to a wealth of information

The template costs $99 and is available for purchase here.

The SEC this summer voted to adopt changes to the Form ADV, Part 2, the principal disclosure document that SEC-registered investment advisers must provide to their clients and prospective clients (see “SEC“).

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