Whether you're launching a new advisory firm or expanding into new states, we manage the registration process end-to-end and stand with you through regulatory examinations.
What we deliver
- Registration PreparationPreparing and submitting Form ADV and other required registration documents to the SEC and applicable state regulators.
- Compliance ReviewReviewing the investment adviser's compliance policies and procedures as part of registration.
- Disclosure DocumentsPreparing and updating disclosure documents, including Form ADV Part 2A (brochure) and Part 2B (brochure supplements).
- State RegistrationFiling and updating state registration applications as required.
- Annual FilingsPreparing and filing annual reports, Form ADV amendments and other required updates.
- Regulator CorrespondenceResponding to inquiries and correspondence from regulatory authorities.
- Regulatory ExaminationsAssisting with regulatory examinations — including preparation of requested documents and on-site support.
- RecordkeepingMaintaining accurate and complete records in accordance with SEC IA regulations.
- Compliance ConsultingOngoing compliance consulting after registration is complete.
