With hundreds of successful registrations under our belt, we are well-equipped to guide you through every step of the process. Whether you are registering with the SEC or one or more states, our turn-key registration service provides you with everything you need to get your advisory business up and running.

Our Investment Adviser Registration service includes:

  • Unlimited registration consulting
  • IARD administration
  • Acting as regulatory liaison with the SEC or state authority
  • Completing Form ADV Part 1
  • Drafting Form ADV Part 2A /2B
  • Making additional state filings
  • Registering investment adviser representative(s)
  • Conducting the risk assessment
  • Drafting customized compliance policies and procedures
  • Drafting a customized code of ethics
  • Providing a disaster recovery plan template
  • Assisting with marketing material preparation