All registered investment advisers must not only update their registration documents on an annual basis, but also keep these filings current throughout the year. We can help keep your registration documents accurate and your status as an investment adviser in good standing.

Our Annual Registration Renewal service includes:

  • Unlimited registration consulting
  • Administering your firm’s IARD account
  • Acting as regulatory liaison with the SEC or state authority
  • Updating Form ADV Part 1
  • Updating Form ADV Part 2A /2B
  • Filing the annual updating amendment
  • Making all required state filings
  • Filing any “other-than-annual” amendments
  • Filing Form U-4/U-5 for investment adviser representatives
  • Providing monthly compliance training material
  • Providing compliance checklists & updates