Investment Adviser Registration

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;
  • Preparation of Customized Written Supervisory Procedures Manual including all necessary regulatory requirements as well as client-specific procedures… plus Code of Ethics, Solicitor Documents, Compliance Calendar, Business Continuity Plan, and Privacy Policy;
  • 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.

Contact us or Request a Customized Quote for an all-inclusive customized price to register your new SEC or state investment adviser business today!

Customized Compliance Solutions™