Compliance Solutions for Investment Advisers

Registration

Whether you are registering with the SEC or one or more states, our turn-key registration services provide you with a cost-effective solution that does not compromise on service or expertise.

 

Service

State Registration Package

SEC Registration Package

Registration Consulting
Unlimited Pre-Registration Consulting

We know how complicated registering as an investment adviser can seem. So whenever you want to discuss a registration-related matter, just give one of our consultants a call. Since we have completed hundreds of investment adviser registrations, we can probably provide an answer on the spot.

Post-Registration Consulting

We understand that after your firm becomes registered you may have additional questions regarding your compliance responsibilities. To help you through this post-registration period, we will provide you with up to three (3) hours of “as-needed” compliance consulting services during the first three months your firm is registered.

Unlimited Unlimited
IARD Administration & Regulatory Liaison
IARD Account Administration

Setting up your firm’s account on the Investment Adviser Registration Depository (IARD) is the first step in the registration process. We will serve as your firm’s IARD account administrator and prepare, submit and monitor all regulatory filings and funding activity.

Regulatory Liaison

During the registration process questions and comments from regulators are inevitable. We will act as your firm’s regulatory liaison (either with the SEC or applicable state securities regulator) for issues that arise during the initial review and approval of your investment adviser registration application.

Form ADV Parts 1 & 2A
Form ADV Part 1

Form ADV Part 1 is your firm’s primary registration document. We will complete Part 1A and all applicable schedules for your firm on the Investment Adviser Registration Depository (IARD). For advisers registering with a state, we will also complete Part 1B which requests information specific to the state-registration process.

Form ADV Part 2A

After a thorough information gathering process, we will create a Part 2A that reflects the specifics of your advisory business while ensuring that its format and content meet all regulatory requirements. Because your firm must provide Part 2A to all clients and prospective clients, we will ensure that the document is attractive and, if requested, branded with your firm’s logo.

Register Advisory Firm
We will file a registration for your firm in one jurisdiction (SEC or state). For firm’s registering with a state, this filing will include all additional registration documentation required by that particular state. For advisers registering with the SEC, this filing will include all applicable state notice filings.It is often the case that your advisory firm may need to register in multiple states. While there are certain elements of your firm’s initial registration that will remain constant across the other states, each state does have its own unique requirements. We will guide your firm through this process, filing the proper registration documents with each state and creating and revising documents so that they are compliant across all jurisdictions.

Each Additional State – $499.

Register Investment Adviser Representative
We will file a Form U-4 for one individual and, if necessary, assist that individual in setting up a testing date for any required licensing examination. We will also create a Form ADV Part 2B brochure supplement written in plain English that contains all required disclosure information.

Each Additional Representative – $199.

Client Agreements
Customized Client Agreements

Since your client agreements set forth the terms of your firm’s legal relationship with its clients, their importance cannot be overstated. We will customize our standard investment management agreement and/or financial planning agreement to fit your firm’s specific business and disclosure requirements.

Model Solicitor’s Agreement

If you plan on using an unaffiliated third-party to solicit business on behalf of your firm, you will need to have a specialized type of agreement. We will draft a standard solicitation agreement and solicitor’s disclosure document that your firm can use with third-party solicitors.

Risk Assessment
Prior to developing compliance policies and procedures, advisers registering with the SEC must undertake a thorough assessment of existing compliance risks. We will conduct a preliminary risk assessment of your advisory business and provide you with all documentation required by SEC for the identification and assessment of compliance risks.
Customized Policies & Procedures Manual
Whether you are registering with the SEC or a particular state, your firm is required to have a robust compliance program. A customized policies and procedures manual is the essential element of any such compliance program.

For State-Registered Advisers

We will develop compliance policies and procedures that are in conformity with the rules and regulations of the state in which you are registering.

For SEC-Registered Advisers

We will develop customized policies and procedures that are based on your firm’s business practices and are in conformity with the rules and regulations governing investment advisers registered with the SEC and the “best practices” of the advisory profession.

State-Specific SEC Rule 206(4)-7 Compliant
Customized Code of Ethics
We will provide you with a customized Code of Ethics that reflects the conduct of your advisory business and addresses all applicable regulatory requirements, including, personal trading, political contributions, insider trading, gifts and outside business activities.
State-Specific SEC Rule 204A-1 Compliant
Other Required Policies
Model Disaster Recovery Plan

All advisory firms must have a plan that provides for contingencies in the event of a significant business disruption. We will provide your firm with a model Disaster Recovery Plan that you can easily adapt to the particular needs and resources of your firm.

Privacy Policy Statement

All advisory firms are required to provide certain clients with a statement of their privacy policies and procedures. We will prepare a customized privacy policy statement that is in conformity with Federal Trade Commission rules (for state-registered advisers) or Regulation S-P (for SEC-registered advisers).

Marketing Material Review
We will review any marketing and advertising material that your firm proposes to use in its advisory business. If necessary, we will draft appropriate disclosures/disclaimers for your firm’s marketing and advertising material, including any web site, blog or social media site.
CCO Training
We understand that in many new firms the Chief Compliance Officer may not have the requisite compliance experience. Our training program will help your Chief Compliance Officer understand their responsibilities as the head of your firm’s compliance program.
Registration Maintenance & Annual Renewal Services
We are pleased to offer your firm a 25% discount on your first year of registration maintenance and annual renewal services. These services include:

  • Acting as your firm’s liaison with applicable regulatory authority
  • Acting as the IARD Service Administrator for your firm
  • Filing your firm’s annual amendment
  • Making all annual state filings (for State-registered advisers)
  • Filing all other-than-annual amendments
  • Filing Form U-4/U-5 for your firm’s investment adviser representatives
  • Filing annual renewals for investment adviser representatives with appropriate state regulators
  • Making state notice filings (SEC-registered advisers)
25% Discount 25% Discount

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