STATE & SEC FILING SERVICES | COMPLIANCE OVERSIGHT
STATE FILINGS
Register an RIA in a new state
State Registration Filing
(Primary Jurisdiction)
FINRA Entitlement
Form ADV Part 1 / ADV 2A fillings
Form U4 for Advisers
Form ADV 2B for Advisers
Assistance with Annual Registration Renewal
Customized RIA Documentation including:
Privacy Policy Statements
Business Continuity Plan
Compliance Manual
Wrap Fee Brochure
Financial Planning Agreement
Code of Ethics
RIA / Hybrid RIA Advisory Agreement
Personnel Securities Transaction Document
Termination Checklist
Adviser Questionnaire
SEC FILINGS
Register a new RIA with the SEC
SEC Registration Filing
FINRA Entitlement
Form ADV Amendment Filing
Form ADV Part 1 / ADV 2A
Form U4 for Advisers
Form ADV 2B for Advisers
Assistance with Annual Registration Renewal
Customized RIA Documentation including:
Privacy Policy Statements
Business Continuity Plan
Compliance Manual
Wrap Fee Brochure
Financial Planning Agreement
Code of Ethics
Termination Checklist
Audit prep consultations
Adviser Disclosure Document
Personnel Securities Transaction Document
OUTSOURCED CCO
Ongoing Chief Compliance Officer Services
For new and existing firms:
Robust CCO personalized service in all areas
Registration of Firm in New States
Assistance with Annual Registration Renewal
Customized audit prep consultations
Form ADV Part 1 / ADV 2A
Form ADV Amendment Filing
Customized RIA Documentation including:
Privacy Policy Statement
Business Continuity Plan
Compliance Manual
Wrap Fee Brochure
Financial Planning Agreement
Code of Ethics
RIA / Hybrid RIA Advisory Agreement
Personnel Securities Transaction Monitoring
Termination Checklist
Adviser Questionnaire
COMPLIANCE OVERSIGHT
MONTHLY COMPLIANCE CONSULTATIONS | DOCUMENTATION REVIEWS, CREATION & FILING SERVICES
This package is ideal for startups interested in staying up to date with regulatory requirements for their business. We provide new and growing firms with news, updates and the regulatory documents they need to stay in compliance with state and federal laws.
