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