Overviews, Policies & Procedures

Key Bridge Consultants

Key Bridge is our consulting parner for all things compliance related. Please email all compliance questions to the following 3 contact persons:

You may also call Tanya Olvera at Key Bridge at (859) 600-1434.

LifeARC

LifeARC is our online compliance software vendor for all things compliance related. Please use their website to accomplish the following:

  • Creating your ADV for approval, submitting changes to your ADV, and re-creating your ADV every year in January.
  • Submitting any and all marketing materials and files for pre-approval before use.
  • Submitting all required access persons investment account transactions and holdings.
  • Completing requried OBA questionnaires and other types of required surveys as instructed by WWA.

Downloadable Content

  • • Compliance Policies & Procedures Manual
  • • Anti-Money Laundering Overview
  • • Anti-Money Laundering Manual
  • • Fiduciary Responsibilities Overview
  • • Fiduciary Standards Overview
  • • Wrap vs Non-Wrap Account Suitability
  • • Business Continuity/Disaster Recovery Plan
  • • Advertising an Overview
  • • Data Security
  • • Wash Sale General Information

Videos

Creating & Updating Your ADV

  • The LifeARC system is used to create your initial ADV and submit any ongoing changes.
  • Also, all ADVs, whether or not there are any changes to the content, must be re-created annually in January. The version with the current year’s updated date must be distributed to new clients at the start of a new year.
  • To create or update your ADV in LifeARC, see the left side menu and click Compliance > Adviser Profile. Be sure each section is completed and Save & Submit. 
  • Submitting the questions will automatically generate a copy of your ADV for review. 
  • Check the left side compliance vault menu for the approval status or any feedback comments. Once the status is marked as approved, you may download the PDF from your regulatory documents and be sure to manually distribute to each client via email.