If you are a Florida covered registered investment adviser or an investment adviser representative, and a paper filer, you must transition to the IARD and CRD electronic systems beginning October 1, 2006. The transition functionality will shut down by November 3, 2006, in order to process renewals. It will not be available until January 2, 2007 so failure to transition in a timely manner could lead to a lapse in registration.   In addition, the Florida Office of Financial Regulation (Office) has mandated use of the IARD system for purposes of investment adviser firm (IA) registrations and Web CRD for the purposes of investment adviser representative (RA) registrations.

Pricing Our assistance in your regulatory filing will include the drafting of all required documents and applicable forms. ComplianceMAX offers to transition state-registered Investment Advisers to the IARD system for $299.00 until October 15; for $375 until October 27 and $450 thereafter. This price includes one investment advisor representative ("RA") transition registration. Additional RA transitions are $25 with current CRD information (previously filed U-4), $100 without.

Exclusions Our fee for this service does not include those fees or charges due to the states, the SEC, the NASD, and/or to any other entity, which may require a filing or related fee, postage, copies, or related service fees. Half of the fee is due and payable upon the return of a signed copy of this agreement. The balance will be due upon notice of your effective transition from the state and/or other entities to which you may be applying, and/or the completion of the service.