| Status | Task | Owner | Due | Effort | Blocked by |
|---|---|---|---|---|---|
| Complete | File Form ADV amendment reflecting acquisition | Naomi Ferrante | 07/10/26 | 3 | — |
| In progress | Transfer IAR registrations via IARD/CRD | Naomi Ferrante | 08/07/26 | 8 | File Form ADV amendment reflecting acquisition |
| In progress | Update ADV Part 2B brochure supplements | Devon Ashby | 08/14/26 | 5 | File Form ADV amendment reflecting acquisition |
| Not started | Submit state notice filings for 9 states | Devon Ashby | 08/28/26 | 4 | Transfer IAR registrations via IARD/CRD |
| Not started | Harmonize compliance manual and code of ethics attestations | Naomi Ferrante | 09/04/26 | 6 | — |
| Not started | Confirm books and records custody under Rule 204-2 | Devon Ashby | 09/11/26 | 3 | Harmonize compliance manual and code of ethics attestations |