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Investment Advisor Registration

Whether for SEC registration or registration with one or more states, the process can be frustrating and ultimately more expensive if done incorrectly. Our staff is experienced in making sure that the proper registration is filed for, that registration in all required states for a firm are accomplished through outright registration or notice filing. Equally important, the disclosures of the firm’s operations, fee structure and conflicts of interest must be meticulously prepared in accordance with current standards. Failure to adequately disclose these items can lead to earnings disgorgement and punitive regulatory action.

We provide the following services as needed in the registration of investment advisory firms:

  • Guidance in accumulating all required information for filing the registration and completing disclosures
  • Evaluation and organization of information in preparation for filing registrations
  • Guidance and/or assistance in the establishment of an IARD account
  • Preparation of ADV 1
  • Preparation of ADV Part 2A and 2B
  • Preparation and submission of additional documents as required by state regulators.
  • Response to regulatory inquiries regarding the pending registrations
  • Evaluation of which associated persons need licensing and assistance in licensing
  • Consultation on compliance requirements once firm is registered
  • Consultation on supporting documents required and if necessary referrals to professionals to assist in the creation of the documents

We will help you start your investment advisory firm the right way and help you understand and plan for what will be required of your firm by the regulatory authorities. The process of completing the process of installing and establishing a system by which the compliance program is administrated is similar to that our compliance rehabilitation program except for the segments that are completed as part of the registration process.

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