Initial Registrant Services
Registering with the SEC can be complex, we make it manageable. ICA uses technology and teamwork to guide you through regulatory filings, compliance rules, and record keeping.
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And once you’re registered, we don’t just walk away. Our service packages provide ongoing support to help you stay compliant, prepared for exams, and confident in meeting regulatory expectations.
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Focus on your clients, we’ll handle the compliance.
The Path To Registration
FINRA CRD & IARD Services
To register as an investment advisor, you must first gain access to the FINRA Gateway and IARD system.
Client Advisory Agreements
The next step is preparing your client advisory agreements. These documents define the scope of your services, fee structure, and legal terms—and must align with regulatory requirements.
Compliance Manual & Base Documents
The last step in your registration process is drafting your firm’s foundational compliance documents. This includes your Compliance Manual, Privacy Policy, Business Continuity Plan, and other essential policies.
Select Ongoing Support
To ensure the firm remains compliant through the Initial Registrant Exam, we'll require an ongoing engagement to be in conjunction with our Initial Registration Service.
Essential Services provides core tools. Custom policies, procedures, checklists, and forms, plus hands-on support for CCOs, FINRA filings, and marketing reviews to meet all regulatory expectations with confidence.
CCO
Support
& Guidance
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Client
Advisory Agreements
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Advertising
& Marketing Review
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CCO
Checklists
& Tools
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Risk
& Gap
Analysis
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Firm
Support
& Education
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Compliance Support & Base Documents
SEC
Exam
Support
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EDGAR
Filings
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FINRA
CRD & IARD Services
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SEC
Mock
Exam
*Services in grey are not provided at this level of engagement
What You’ll Gain from Our
SEC Registration Support
End-to-End Registration Support
From Form ADV to SEC communication, we guide you through every step.
Tailored Compliance Documentation
No generic templates! Your documents are built around your model.
Strategic Guidance from Day One
We help align your business plan, fees, and structure with regulatory best practices.
Peace of Mind with Ongoing Options
Choose ongoing support for continuous compliance confidence.
Clear Timelines and Responsibilities
Our compliance calendar ensures nothing slips through the
cracks.
Direct Access to Senior Compliance Experts
You’ll always work with experienced professionals who understand your needs.
