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Investment Adviser Registration

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Investment Advisor Registration

Investment advisor registration at either the state or federal level is necessary for most professional money managers that advise outside capital as to the value or advisability of specific securities transactions. We endeavor to make the investment advisor registration process simple, efficient, and cost-effective for our clients. We borrow on our wealth of experience handling investment advisor registration matters to deliver on this promise.

Investment managers that advise separately managed accounts will inevitably encounter state or federal rules that necessitate investment advisor registration with either a state securities authority or the Securities and Exchange Commission. For these advisors, we provide comprehensive registration and compliance services. We also draft investment management agreements for both discretionary and non-discretionary managed account programs, advise as to permissible marketing methods under state “blue sky” laws and the Investment Advisors Act of 1940, and handle other legal matters that may arise.

Investment managers that advise only private investment funds, including hedge funds, or otherwise only advise a small number of client accounts may be able to operate within an exemption from investment advisor registration depending on their business structure and place of business. Available exemptions vary highly from one state to the next and most advisors will have to register.

We offer varying levels of support depending on an individual client’s needs. We can augment our basic, cost-effective investment advisor registration services with a comprehensive engagement to develop a complete compliance infrastructure. We also offer ongoing advisory and support services as our registered investment advisor clients grow their advisory businesses.

Our investment advisor registration services typically include:

  • Preparation and submission of entitlement forms with FINRA
  • Preparation and filing of Part 1 of Form ADV
  • Preparation and filing of Part 2 of Form ADV, known as a “brochure”
  • Detailed review of existing procedures and operational policies
  • Creation of compliance manual and code of ethics
  • Creation of tailored compliance calendar outlining compliance / regulatory tasks on a monthly basis
  • Employee compliance training sessions for investment adviser representatives
  • Ongoing support throughout the registration process
  • Receipt of Investment Law Group “Client Alerts” to update you on changes in regulations that may affect your advisory business

 

We invite registered investment advisors that are currently registered to visit our Registered Investment Advisor Compliance page to learn more about how we can assist with ongoing RIA compliance and support.

 


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