Helping You Register with the SEC or State
Whether you are planning on starting an investment advisor or are looking to transition from state to SEC registration, we can help you with the RIA registration process. This process can be complex and time-consuming so it pays to work with someone who can help you save time and register seamlessly. We work with a number of SEC and state-registered investment advisors and can help your firm. More importantly, our services are customized and tailored based on your unique advisory practice.
Our service starts with an introductory consultation, which allows us to get a better understanding of your business, where you plan to operate, and what products and services you plan to offer. We will advise you what specific steps and requirements must be met in registering your advisor with the SEC or state. We can then start the process of establishing an IARD account and helping you draft and file your Form ADV and other filings. We can also help you formulate your advisory agreements and develop a compliance manual that is customized to your firm’s investment strategies, risk areas, and business practices.
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RIA Registration – What Services We Provide
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