Investment Adviser Registration Services

ComplianceWorks can address your investment adviser firm registration needs and concerns. We will work directly with your firm’s managing principal or chief compliance officer to identify registration challenges. We will then build and implement solutions to meet your regulatory responsibilities. We can relieve you of the burden of having to find competent licensing and registration personnel by performing all of your licensing and registration functions for you.

Preparatory Phase:

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.

Some of Our Investment Adviser Registration services

Preparatory Phase:

  • Initial business consultation
  • Preparation of Entitlement forms for you to access the IARD/CRD systems
  • Conference call with you to discuss your plans for your new business
  • Preparation of Form ADV Part 1A and 1B
  • Preparation of Form ADV Part 2A and 2B plain English Brochure and Brochure Supplement
  • Preparation of Form ADV Part 3
  • Preparation of Wrap Fee Brochures
  • Preparation of Form U-4 (Uniform Application for Securities Industry Registration or Transfer) for your Investment Advisory Representatives
  • Compliance Consultation on Investment Advisory Agreement
  • Compliance Consultation on Financial Planning Agreement
  • Compliance Consultation on Consulting Agreement
  • Preparation of an Investment Policy Statement
  • Preparation of Solicitor’s Disclosure Documents
  • Consulting with you to confirm the content of these documents prior to filing
  • Research and Preparation of the applicable state and federal filing requirements

Filing Phase:

  • Filing your registration with the applicable regulators, and responding to the regulators’ comments through to approval of your firm

Compliance Phase:

  • Preparation of a Compliance Program including: Written Supervisory Procedures, Code of Ethics, Privacy Policy, Massachusetts Identity Theft Program, and Cybersecurity Policy
  • Preparation of Business Continuity Plan
  • Post firm approval, we will provide you with a list of ongoing compliance requirements for your new advisory firm.
  • Provide electronic folder compliance filing system

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To Our Valued Clients:

Due to the severity of what we are facing, ComplianceWorks has decided to take proactive action to honor our commitment to truly being a partner with our clients.  We understand that falling short on compliance obligations in reaction to this difficult environment would only further increase risk to our clients.  Thus, effective April 1, you will be given a temporary [10%-25%] reduction in the monthly ComplianceWorks’ fee without a reduction in service or tasks outsourced to ComplianceWorks.  This puts the cost of our services more in-line with the uncertainty of firm financial conditions and puts our firms in the same boat as we all work toward recovery.  We will re-evaluate the discount every 3 months to determine then continuance and the amount of reduction going forward. 

Please understand that the reduction in your fee is not permanent and that at some point in the future we will return to the normal contracted price for the services provided.

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