Filing requirements for investment advisers are complex and unforgiving. Our team prepares, files and maintains every required disclosure, so you never miss a deadline or a detail.
What we deliver
- Form ADVPreparing and filing Form ADV with the SEC and applicable state regulators — initial registration, annual amendments and required updates.
- Form PFPreparing and filing Form PF for investment advisers managing private funds, in line with SEC thresholds and timelines.
- Form DPreparing and filing Form D with the SEC and state regulators for private placements of securities.
- Other SEC FilingsPreparing Form 13F, Form 13G and other required SEC filings on schedule.
- State FilingsPreparing and filing state regulatory filings as required by applicable state securities regulators.
- Compliance ReviewReviewing the adviser's compliance policies and procedures alongside each filing cycle.
- Regulatory ResearchOngoing research on applicable regulations, rule changes and emerging requirements.
- Regulator CorrespondenceResponding to inquiries and correspondence from SEC and state regulators.
- RecordkeepingMaintaining accurate and complete records in accordance with SEC IA regulations.
