Registration Consulting Services

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Registration Consulting Services

Registration Services (Form ADV)

  • Assist in setting up your FINRA IARD account by preparing IARD entitlement forms.
  • Assist in preparing Form ADV Part 1A, Part 1B (if applicable), Schedule A, B, and D.
  • Assist in preparing Form ADV Part 2A and any Part 2B supplemental brochure.
  • Assist in preparing any Form U4s.
  • Serve as a regulatory liaison for any questions or revisions requested during the initial review and approval of your investment adviser registration documents by the SEC.

Material Change Registration (Form ADV) Updated

  • Assist in determining if a material updated needs to be filed.
  • Assist in preparing and filing any material update.
  • Serve as a regulatory liaison for any questions by the SEC.

Ongoing Annual Registration (Form ADV) Support

  • Review your registered investment adviser firm’s organization. Revise and update the Form ADV based on such review. Create and maintain a master log summarizing all amendments and other changes to the Form ADV.
  • Assist filing the Form ADV annual amendment.
  • Serve as a regulatory liaison for any questions by the SEC.