ECIC Docs Hub

1 What You Actually Need To Do

Form ADV Amendment - BLOCKING

Status: Draft complete, waiting on YOUR approval File: compliance/form-adv-draft-update-2025.qmd What’s needed:

• Confirm fee structure (1.00% flat vs tiered?)
• Confirm current AUM and client count
• Sign off on entity naming (Invest Vegan LLC vs ECIC DBA)
• Submit to Utah Division of Securities

California Waitlist - Ready to Deploy

Status: Policy written, needs website implementation Policy: policies/client-waitlist-policy/ What’s needed:

• Update website hero (“California capacity reached”)
• Create /california-waitlist landing page
• Configure LACRM state-based routing

Records Audit - Outstanding

Status: Framework ready, execution not started Matrix: compliance/records-management-matrix.qmd What’s needed:

• Client file completeness audit (contracts, suitability docs)
• Personal trading pre-clearance system
• Annual attestations (Code of Ethics)

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2 Reference Documentation

2.1 Compliance Manual

SEC Rule 204-2 procedures, Form ADV, regulatory filings. This is stable.

Document	Purpose
Books & Records	SEC Rule 204-2 implementation
Client Accounts	Trading procedures
Regulatory Filings	Form ADV, state filings
Utah RIA Framework	State-specific requirements
Full Compliance Index	All 33 compliance docs

2.2 Operational Runbooks

Day-to-day procedures. These work.

Runbook	Purpose
Client Onboarding	New client setup
ACAT Transfers	Account transfers
Client Review	Review procedures
Forms Processing	Onboarding automation
All Runbooks	17 operational SOPs

2.3 Client-Facing Policies

Approved documents for clients. Don’t change without legal review.

Policy	Purpose
Client Agreement	Service agreement
Privacy Policy	Privacy statement
Form ADV Part 2	Disclosure brochure
Screening Policy	Ethical investment filters
All Policies	11 policy documents

2.4 Vendor Documentation

Service provider details. Reference only.

Vendor	Purpose
Altruist	Custody
LACRM	CRM
Cloudflare	Hosting/Workers
All Vendors	19 vendor briefs

2.5 Strategic Plans

Business direction documents. Last updated Sept 2025.

Plan	Purpose
Scaling Path 2025	Growth strategy
Action Checklist	Week-by-week execution
Tech Roadmap	Engineering plan

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3 Quick Reference

• Data Catalog: reference/data-catalog/
• Glossary: reference/glossary/
• Architecture: reference/architecture/
• Mirrors: reference/mirrors/ (synced from other repos)

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4 Stale / Needs Attention

These files exist but haven’t been updated:

• current-priorities.qmd - Last updated Sept 29, 2025 (75 days stale)
• current-tasks-consolidated.md - Last updated Sept 29, 2025
• compliance/compliance-status-dashboard.md - Shows 2024 AUM data

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Site Info

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