New Registered Investment Adviser Compliance Setup
Ease the Burden
We understand, first-hand, what is involved for an adviser when starting a new business. (We’ve started a new business twice ourselves and have helped dozens of advisers get registered and kick off their compliance.)
Like us, new SEC advisors tend to be do-it-yourselfers. This is a talent; however, “going it alone” when becoming registered and developing a compliance program has the potential to waste your precious time as you figure things out on your own and lose money from lost opportunities that would have been gained by focusing on other areas. The compliance registration process can be overwhelming and difficult to navigate, especially when you are trying to juggle multiple moving parts. And when you become a registered investment adviser, you are instantly subject to a multitude of rules and regulations and are burdened by the expectation to be in compliance with them, even if you’re unaware of what they are. The risk of not being in compliance is increased for registered advisers unfamiliar with regulatory requirements.
Get Started with Your Best Foot Forward
Let us ease this burden for you. You’ll get started with your best foot forward in less time and with less stress than those who go it alone. We’ll get you accurately registered and in compliance with all applicable agencies, educate you on the adviser compliance rules specific to your business model, and custom-develop practical, fully compliant policies and procedures that make your compliance program simple from the beginning. Being simply compliant saves you time, day after day, year after year, with processes that are easy to follow and policies that are easy to understand, review, and update annually, as required by compliance rules.
How We Help
We will hold your hand and walk you through the entire SEC compliance registration process. This could include everything from talking with regulators on your behalf to educating you on the compliance requirements and various ways you can implement compliance in line with your business operations. We understand that each adviser is unique and take the time to listen to your uniqueness to make sure the compliance requirements are applied in a practical way.
We take our experience of working with a variety of registered investment advisers and share what we have learned to help you streamline your processes and problem solve any compliance complexities you run up against. We also share the experience of advisers that have been examined since they became registered to help you better prepare your firm for an SEC exam.
This service is for newly-registered advisers and soon-to-be-registered advisers. And it includes, at a minimum, the following:
- Written Compliance Policies & Procedures
- Written Code of Ethics
- Privacy Notice
- Written Form ADV Part 2A and 2B
- Filing of Form ADV with the SEC
- Filing of Form U4, for registered adviser representatives
What Happens Next?
Our assistance doesn’t have to stop once you are registered and get your initial compliance framework in place. There are ongoing compliance requirements that advisers must be aware of when registered with the SEC. Our Annual Review service for registered advisers will help ensure your compliance evolves with your firm and the industry. The synergies gained by continuing services with us from New Adviser Setup to Annual Compliance Review result in a significant cost savings for you while you’re getting your new RIA established.Request a complimentary
“Build a Compliant Foundation” strategy session