If the award or ranking has not been disclosed, please fill out the Third Party Rankings & Awards Disclosure form. (This link will open in a new window and will not take you away from the IAR Annual Examination form.)

Please see the Outside Business Activities Disclosure form to ensure you are disclosing all OBAs. (This link will open in a new window and will not take you away from the IAR Annual Examination form.)

If you have a new OBA or changes to a previously disclosed OBA, please fill out the Outside Business Activities Disclosure form. (This link will open in a new window and will not take you away from the IAR Annual Examination form.)

If Redhawk is not monitoring an email outside of its server, please contact the Compliance Department immediately at Compliance@RedhawkWA.com.

Please review your most recent U4 and ADV Pt 2B. Contact Compliance@RedhawkWA.com if any changes are required.

For example, double-dipping occurs when a financial professional places commissioned products into a fee-based account and then makes money from both the commission and the fee.

The August 2023 Compliance Manual and Compliance Manual Summary of Changes that summarizes the updates from the previous version can be found at the provided links and also on the Redhawk website advisor dashboard under the Compliance tab. (The links will open in a new window and will not take you away from the IAR Annual Examination form.)