Policy & Procedure Manual for Sponsor IARs

Purpose of This Guide

Thank you for serving as an Internship Sponsor!

Your role is critical in shaping the next generation of professionals while maintaining our fiduciary culture.

Step 1: share program details with your intern

Step 2: internship request form

This guide outlines your responsibilities as a Sponsor IAR in our internship program and the expectations for mentoring, supervising, and staying compliant.

🔷 Your Role as a Sponsor IAR

Each intern is paired one-on-one with a licensed Investment Adviser Representative (IAR) who acts as their:

• Mentor – Teaching through real-world exposure.
• Gatekeeper – Ensuring interns stay within non-advisory boundaries.
• Compliance Steward – Upholding the firm’s regulatory standards.