SEC Exam Prep Document Production
Mapping evidence sources
Securities and Exchange Commission
Office of Compliance Inspections and Examinations
Ref: EXM-2026-04817 · Examination Notification
Pursuant to Section 204 of the Investment Advisers Act, please produce the following documents and records within fifteen (15) business days.
  • 1 Advisory client agreements (sample of 25 clients) Pending
  • 2 Marketing materials distributed (past 24 months) Pending
  • 3 Fee billing records and calculations (past 8 quarters) Pending
  • 4 Written compliance policies and annual review Pending
  • 5 Client communication records (past 12 months) Pending
  • 6 Employee personal trading records Pending
  • 7 Custody documentation and surprise exam results Pending
  • 8 Books and records per Rule 204-2 Pending
Response Deadline
15
business days
Exam Scope
Period2024-2026
Request items8
Est. documents~2,400
Systems12
Mapping each request to evidence sources
Searching across 12 connected systems: CRM, Custodian, Compliance, Email Archive...
SEC Exam Prep Evidence Assembly
Assembling evidence
Evidence Collection
0 of 8 Complete, 0 Gaps
Request Item Sources Searched Docs Status
Client agreements (25)
CRMDocuSignSharePoint
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Marketing materials
ComplianceEmailWebsite
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Fee billing records
BillingCustodianCRM
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Compliance policies
ComplianceSharePoint
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Client communications
EmailCRMPortal
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Personal trading
ComplianceSchwab
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Custody documentation
CustodianAuditor
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Books and records
All Systems
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SEC Exam Prep Production Package
All 8 Items Produced
SEC Examination Response
Meridian Wealth Advisors, LLC
Registered Investment Adviser
Exam ID
EXM-2026-04817
Response Date
Apr 22, 2026
Items Produced
8 of 8
Total Pages
2,847
Section Docs Pages
1. Client Agreements25pp. 1-187
2. Marketing Materials84pp. 188-412
3. Fee Billing Records32pp. 413-890
4. Compliance Policies12pp. 891-1,042
5. Client Communications1,847pp. 1,043-2,104
6. Personal Trading156pp. 2,105-2,340
7. Custody Documentation18pp. 2,341-2,590
8. Books and Records214pp. 2,591-2,847
Gaps Remediated
✓3 agreements re-signed via DocuSign, executed copies attached
✓Q2 2024 billing calcs reconstructed from custodian data, CCO attested
Chain of Custody
  • 9:00aExam notice ingested
  • 9:02a12 systems queried
  • 9:14a6 items complete
  • 9:15a2 gaps identified
  • 10:30Gaps remediated
  • 11:00CCO review complete
  • 11:15Package sealed
Rule 204-2 Compliant All 8 Items Produced Evidence Chain Intact