NAAIM - Registered Investment Advisor Education & Resources

Membership Type (check one)

Calendar Year Dues: $600.00
Regular Membership
Regular Members must be (1) Registered as an Investment Adviser with the Securities and Exchange Commission or with any state securities administrator for a period of at least one year. (2) Regularly engaged in active investment management for client accounts through the use of a limited power of attorney with respect to investment in mutual funds and other appropriate investment vehicles. (3) Subscribe to the NAAIM Code of Ethics and Fair Practices Policy .

Emerging Membership
Emerging Membership must be (1) Registered as an Investment Adviser with the Securities and Exchange Commission or with any state securities administrator for a period of less than one year. (2) Regularly engaged in active investment management for client accounts through the use of a limited power of attorney with respect to investment in mutual funds and other appropriate investment vehicles. (3) Subscribe to the NAAIM Code of Ethics and Fair Practices Policy .

Special Membership
Special members must be (1) regularly engaged in active investment management for client accounts through the use of a limited power of attorney with respect to investment in mutual funds and other appropriate investment vehicles. (2) Subscribe to the NAAIM Code of Ethics and Fair Practices Policy (3) Membership must be accepted by a NAAIM board of directors vote and will last for one calendar year.

Please briefly describe why you would like to become a NAAIM member:

How did you hear about NAAIM?

Company:

Address:

City:

State:

Zip:

Telephone:

Fax:

Website:

SEC or State Registration #:

Describe your company:

Primary Contact:

First Name:

MI:

Last Name:

Primary Contact Title:

Address:

City:

State:

Zip:

Telephone:

Fax:

Email:

Website:

Secondary Contact:

First Name:

MI:

Last Name:

Secondary Contact Title:

Address:

City:

State:

Zip:

Telephone:

Fax:

Email:

Website:

Company Information:

Years in Business - Classifies as Regular or Emerging
Less than 1 year
1-2 years
More than 2 years

Assets Under Management
Less than $10 Million
$10-$25 Million
$25-$75 Million
Over $75 Million

Do you wish to be included in NAAIM’s web-based Find an Active Manager Referral Directory?
Yes
No

Compliance Contact:

First Name:

Last Name:

Telephone:

Email:

Marketing Contact:

First Name:

Last Name:

Telephone:

Email:

Operations Contact:

First Name:

Last Name:

Telephone:

Email:

Methodology:

Trend Following
Fundamental/Forecasting
Overextended
Cyclical
Pattern Recognition
Seasonality
Artificial Intelligence
Modern Portfolio Theory
Other

Management Style:

Dynamic Asset Allocation
Strategic Asset Allocation
Sector Rotation
Market Timing
Other

Market To/Through:

Direct to Clients
Through Brokers
Through Insurance Agents
Through Financial Planners
Through Accountants
Through Attorneys
Other

Assets Custodied At:

AST Trust Company
Fidelity
Fiserv ISS/DATALynx
Foliofn
Pershing
Potomac Funds
ProFunds
Millennium Trust Company
Rydex Investments
Schwab Institutional
TD Ameritrade
Trust Company of America
Other

Back Office Software:

Advent Axys
Albridge (Statement One)
Centerpiece
dbCAMS
Captools
Orion
Proprietary System
Other

Investment Software:

Amibroker
AIQ
Big Charts
Bloomberg
FastTrack
FundMaster
Investools
Metastock
SuperCharts
Trade Station
Wall Street City/Telescan
Wealth-Lab Developer
Proprietary
Other

Are your firm’s results reported in compliance with AIMR standards?
(not required)
Yes No

The following Statement of Adherence must be checked for membership approval.

Statement of Adherence: Membership in NAAIM shall constitute a continuing representation of the member to NAAIM that such member is without knowledge of any fact or facts that would constitute professional misconduct by the member or covered person(s) associated with the member as defined in Section 7 of the NAAIM Bylaws.

I hereby affirm my receipt and understanding of the foregoing representation and by my checking this box deliver our annual statement of adherence to the governing documents of NAAIM (Articles of Incorporation and Bylaws, Code of Ethics, Performance Measurement Standards, Fair Practice Policy). Any exceptions as defined in Section 7(b) Professional Misconduct, are reported below as required.

Name:

Title:

Membership

RIA Membership Form