New Adviser Setup
How We Help with Your New Adviser Setup
We will walk you through the entire SEC compliance registration process. This could include:
Ensuring you are accurately registered and in compliance with all applicable agencies,
Speaking with regulators on your behalf,
Providing education around the adviser compliance rules specific to your business model, and
Custom-developing practical, fully compliant policies and procedures
All of which will make your compliance program simple from the beginning.
We understand that each adviser is unique, and we take the time to listen to your individual situation to make sure we apply the compliance requirements in a practical way that fits your needs.
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 encounter. We also share the experience of advisers that the SEC has examined since they registered to help you better prepare your firm for an SEC exam.
Is New Adviser Setup Right for Your Firm?
This outsourced Core Compliance Service Package is for newly-registered advisers, advisers switching from SEC to State registration or vice versa, and exempt reporting advisers switching to SEC and vice versa.
Ease the Burden
The compliance registration process can be overwhelming and difficult to navigate, especially when you are juggling multiple moving parts. When you register as an investment adviser, you are instantly subject to a multitude of regulatory requirements and burdened by the expectation to be in compliance, even when you are unfamiliar with them.
Let us ease this burden for you. You’ll get started in less time and with less stress than those who go it alone. Start out with a simplified compliance program that saves you time, day after day, year after year, and enjoy processes that are easy to follow and policies that are easy to understand, review, and update annually.
Looking to the Future
Our Annual Compliance Review Core Service Package 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 is a significant cost saving for you while you’re getting your new RIA established.
New Advisor Compliance Case Study
As the founder and the CCO of her new firm, our client came to us because she was wearing multiple hats, jugging the essential aspects of setting up a new business while navigating the nuances of compliance. The physical setup of her firm was so arduous and stressful, she was struggling to find the time to implement any compliance requirements.
While you can always go about it on your own, our client felt that there were so many elements at play, that she couldn’t do everything with expert hands. Compliance is what we do day in, day out - we could directly communicate with regulators, generate her policies and procedures, and establish a compliance program that would be simple for her to use right from the start. She felt the New Adviser Setup service was worth every penny to have the support and expertise beside her, reducing stress and helping her focus on the elements of her firm that highlighted her strengths and reminded her of why she started her firm in the first place.
