FICTITIOUS — FORGE DEMO ONLY · SPECIMEN
If an examiner asked today, 2 item(s) this office could not produce are shown below — each tied to the examiner-request item it answers and the exact record that is missing.
office/spine/crs-delivery.csv · office/spine/households.csvoffice/spine/attestations.csvThis tracks and flags only. Nothing has been marked resolved, nothing was filed or drafted, and no compliance opinion is offered here — every decision, and the judgment of whether a record is adequate, stays with Ellen as CCO. The office's files were only read, never changed.
Every item an examiner asked for in the office's own 2024 request letter (12 items), matched against what this desk's records can produce. The gaps above are the items marked "could not produce." An item on another desk is named, not judged here.
| Item | What the examiner asks for | State | Reading |
|---|---|---|---|
| 1 | Form ADV Part 2A firm brochure | Ready | The current Form ADV Part 2A firm brochure is on file (dated in its header). Part 1 is filed with the regulator and not kept in this desk file. The annual updating amendment is due 2027-03-31 (the filing window opens January) — scheduled, not yet due. |
| 2 | Form CRS (Client Relationship Summary) | Ready | The current Form CRS is on file. It is the required plain-English summary every client must receive. |
| 3 | Client list with billing values | Not on this desk | The client roster is producible from the household register; the billing values live on the billing desk. |
| 4 | Advisory agreements (standard + executed samples) | Not on this desk | Kept with the client files. |
| 5 | Fee calculations & billing records | Not on this desk | On the billing desk. |
| 6 | Fee schedule(s), incl. legacy & discounts | Not on this desk | On the billing desk. |
| 7 | Trade & transaction records | Not on this desk | With operations / the custodians. |
| 10 | Written compliance manual + annual review | Not on this desk | The written policies-and-procedures manual and the annual-review memo are not among the records this machine reads — confirm they are in the compliance file. |
| 11 | Advertising & marketing materials | Not on this desk | In the firm's marketing file. |
| 12 | Business-continuity plan + client-complaint log | Not on this desk | In the firm's records. |
Each regulatory deadline from the compliance calendar, with days remaining counted to today. Source: office/spine/compliance-calendar.csv.
| Obligation | Due | Days | Clock | Note |
|---|---|---|---|---|
| Q3 code-of-ethics attestations | 2026-10-30 | 25 | due soon | all six staff open |
| Year-end RMD completion sweep | 2026-12-31 | 87 | upcoming | 1 client at $0 distributed |
| Form ADV annual amendment | 2027-03-31 | 177 | scheduled | window opens January; fiscal year ends 12/31 |
| Form CRS delivery — all active households | rolling | — | rolling | 2 of 142 have no delivery on record |
Each staff member signs a short form every quarter confirming they followed the firm's ethics rules. Below, each register row is cross-checked against the actual form on file. A round that is simply open for everyone (this quarter, due 10/30) is routine, not a gap. Source: office/spine/attestations.csv × the forms in office/ellen/.
| Staff | Q1 | Q2 | Q3 |
|---|---|---|---|
| Ellen | ✓ on file | ✓ on file | — open |
| Marcus | ✓ on file | ✓ on file | — open |
| Priya | ✓ on file | ✓ on file | — open |
| Dana | ✓ on file | ✓ on file | — open |
| Sam | ✓ on file | ✕ missing | — open |
| Joan | ✓ on file | ✓ on file | — open |
Form CRS is a required plain-English summary every client must receive. This is how many active households have a delivery on record. Source: office/spine/crs-delivery.csv against active households in office/spine/households.csv.
139 of 141 active households covered (98.6%). 1 closed household excluded (not owed a current delivery).
No delivery on record for these active households — an examiner asking for proof of delivery to all clients could not be given it for them:
| ID | Household | Why (from the register) |
|---|---|---|
| H010 | The Tilley Household | onboarded June 2026 |
| H011 | The Nash Household | onboarded June 2026 |
Read the four registers (compliance-calendar, attestations, crs-delivery, households) in office/spine/ and 18 filed record(s) in office/ellen/ · all clocks counted to 2026-10-05.
Full audit trail — every status with its source, the clock math, and the register-vs-form cross-check: compliance detail.