INITIAL
SEC REGISTRANT SERVICES

Registering a new firm with the SEC can be complex and time-consuming.  To register with the SEC as an investment adviser, you must file Form ADV, Part 2A, and Form CRS and keep them current by reviewing and filing periodic and annual amendments.

 

Your firm must also comply with the "brochure rule," which requires advisers to provide clients and prospective clients with information, outlined in Part 2A, 2B, and Form CRS, about the adviser's business practices and educational and business background.  Further, firms must maintain current and accurate books and records, as specified by SEC rules, and be subject to inspection and examination by the SEC staff. 

 

As a new SEC Registrant, your firm must comply with the Investment Advisers Act and the rules.  To ensure the firm remains compliant and is prepared for the Initial Registrant Exam, we'll require a 12-month engagement of one of our ongoing services following the successful approval of your newly registered firm.  Please review our Enhanced, Fundamental, and Integrated Service offerings to decide which is best for your firm.

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Let us help you navigate your new registration effectively so you can focus on your firm and clients.