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, and 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, or you can start with a few and add services as the need arises.

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 FormADV 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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