New Investment Adviser Registration – The most comprehensive, all-inclusive registration package offered in the industry…we specialize in managing the entire process for you. Our expert staff is experienced at registering investment advisers with the SEC or individual states. Like our New Broker Dealer Registration service, we offer an all-inclusive comprehensive package to manage the entire process for you—
- Preparation and submission of all necessary forms, documents, correspondence and filings required to obtain approval from the Client’s Home State and/or the SEC to conduct an investment advisory business;
- Establishment of an IARD Account and Preparation and Electronic Processing of Initial Required Filings (Form ADV, Form U4 for Firm’s Principals);
- Management of all communications with the Client’s Home State and/or the SEC throughout the advisor application process; and,
- General Consulting Regarding the Firm’s IA Registration.