| SEC/State Investment Adviser Registration Assistance |
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Registering as a state or SEC Investment Adviser will allow your firm to charge fees for activities such as professional asset
management and fee based financial planning. In order to conduct this type of business, you will need to register with the SEC
or the appropriate state(s) in which you plan to conduct business.
Our Full-Service Investment Advisory registration package includes the following:
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Prepare and file Form ADV Part I and II, including all applicable schedules; |
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Filing of all required documentation with the SEC or your "Home State;" |
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Investment Advisory Agreements or Investment Management Contracts; |
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Investor/Client Profile forms; |
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Filing of principals and officers with the appropriate regulatory body; |
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Provide record keeping checklist(s); |
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Qualification letters for corporate officers; and |
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Preparation of Supervisory Procedures and Compliance Manual.
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We are convinced that Financial Registrations is the most efficient and cost effective solution to your Investment Advisory needs.
Most importantly, your satisfaction is our top priority. Therefore, we guarantee the quality of our work and customer service.
Please read our Satisfaction Guarantee Policy for further details.
If you would like to discuss our services in detail, please call us toll-free at (800) 641-1818.
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| "As Needed" Investment Adviser Compliance Services |
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Our "As Needed" Investment Adviser Compliance program offer investment adviser firms and securities industry
professionals direct access to our consulting staff. You can discuss issues, ask specific questions, and get timely, practical information
on compliance matters and regulatory requirements from former industry regulators.
Use our "As Needed" Investment Adviser Compliance services only as you need them and therefore you pay only
when you use the service. There are no long-term contracts, membership fees, or minimum "usage" requirements.
We provide accurate and up-to-date compliance support for the following areas:
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Answers to specific investment adviser compliance issues, concerns and questions; |
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Clarification on new and/or amended federal (Investment Advisers Act of 1940) and state specific investment
adviser rules and regulations;
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ERISA Compliance; |
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Anti-Money Laundering; |
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Regulation S-P (Privacy Policies); |
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Soft-Dollar Compliance; |
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Books and Records; |
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Licensing and Registration; |
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Financial/Regulatory Reporting; and |
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Advertising and Web site Compliance.
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Our "As Needed" Investment Adviser Compliance service will enable you to grow your business while maintaining
compliance with federal and state specific investment adviser rules and regulations.
Most importantly, your satisfaction is our top priority. Therefore, we guarantee the quality of our work and customer service.
Please read our Satisfaction Guarantee Policy for further details.
If you would like to discuss our services in detail, please call us toll-free at (800) 641-1818.
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| Investment Adviser Compliance Training |
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As markets evolve and become more complex, it is essential that firms have properly trained investment adviser principals
and supervisors in place. A properly trained investment adviser representative can serve as a "front-line" defense
to protect your firm from customer complaints and costly mistakes.
We can visit your firm to train and work with your investment adviser representatives on the duties and responsibilities associated
with investment adviser compliance, provide a comprehensive training guide detailing the duties and responsibilities associated with
compliance, or provide guidance on an "as needed" basis.
With former industry regulators on staff, we can provide training in the following areas:
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Preparation for SEC/State Examinations; |
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Soft-Dollar Compliance; |
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Financial/ Regulatory Reporting; |
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Internal Audit Reviews; |
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Initial Compliance Assessments; |
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Advertising Compliance; |
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Anti-Money Laundering; |
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Regulation S-P (Privacy Policies); |
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Books and Records; |
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Best Execution Reviews; |
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ERISA Compliance; |
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Licensing and Registration; |
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Sales Practices Violations; |
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Advertising/Sales Literature Compliance; and |
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Web site Compliance Review and Assessment.
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Most importantly, your satisfaction is our top priority. Therefore, we guarantee the quality of our work and customer service.
Please read our Satisfaction Guarantee Policy for further details.
If you would like to discuss our services in detail, please call us toll-free at (800) 641-1818.
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| Investment Adviser Compliance and Supervisory Procedures |
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Establishing, maintaining, and enforcing investment adviser compliance and supervisory procedures is paramount to maintaining
compliance through self-regulation and supervisory oversight. Regardless of the size or complexity of your firm, you must
adopt and implement compliance and supervisory procedures specifically tailored to your business and it must address the
activities of all your registered investment adviser representatives and associated persons.
We understand that developing such procedures can be complex, confusing and time consuming.
Because the SEC and state regulatory agencies place a great deal of importance on the development and implementation of an
investment adviser firm's compliance and supervisory procedures, we can review your existing procedures or develop a customized
version to prepare you for your next SEC and/or state investment adviser examination.
Our comprehensive compliance and supervisory procedures include:
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General/operational compliance and supervisory oversight; |
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Compliance issues specific to the size, scope and function of your practice; |
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Specific identification and designation of individual(s) responsible for supervision; |
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The supervisory steps and each procedural oversight and review to be taken by the appropriately designated supervisor;
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The frequency of each review to be taken by the appropriate supervisor; and |
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How each review will be properly documented and evidenced.
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We use our in-depth knowledge of the regulatory process to design procedures that will enable you to identify and respond to
regulatory concerns in a manner that may reduce the risk of disciplinary or regulatory action.
Most importantly, your satisfaction is our top priority. Therefore, we guarantee the quality of our work and customer service.
Please read our Satisfaction Guarantee Policy for further details.
If you would like to discuss our services in detail, please call us toll-free at (800) 641-1818.
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| Investment Adviser Audit Reviews and Compliance Assessments |
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Going through a SEC or State initiated investment adviser audit can be stressful, inconvenient, and intimidating. We can conduct
an audit review of your home or branch offices that will prepare you for your next regulatory audit.
We will use our experience and expertise to provide you with an understanding of the regulatory audit process that will help you
identify and prevent possible regulatory deficiencies.
Our comprehensive on-site audit reviews and audit templates include the following:
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Preparation for SEC/State Examinations; |
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A comprehensive interview with the appropriate personnel; |
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Form ADV filings and all appropriate Schedules; |
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Examination of Investment Management Agreements/Contracts; |
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Examination of Advertising and Correspondence; |
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Customer Account Review; |
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Performance Reporting; |
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Regulation S-P (Privacy Policies); |
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Examine General Sales Practices; |
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Product/Services Review; |
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Soft-Dollar Compliance; |
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Review Books and Records; |
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Review Financial/Regulatory Reporting; |
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Review of existing Compliance and Supervisory Procedures; |
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Review Sales Literature and/or Web site Compliance; and |
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Verify proper Licensing and Registrations.
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Once an audit review is complete, we will issue a confidential report to management detailing the audit findings, as well as
recommendations for corrective actions.
Most importantly, your satisfaction is our top priority. Therefore, we guarantee the quality of our work and customer service. Please
read our Satisfaction Guarantee Policy for further details.
If you would like to discuss our services in detail, please call us toll-free at (800) 641-1818.
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| IARD/CRD Electronic Filing Maintenance |
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Complying with and maintaining the IARD/CRD electronic filing requirements can be time consuming for an investment adviser
firm. We can provide filing assistance and on-going maintenance of the filings requirements through the IARD and CRD system
based on the size, scope and operational function of your firm.
Our IARD/CRD Electronic Filing services include:
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Filing of Part I Form ADV through IARD; |
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Filing of Part II Form ADV (Hardcopy version until approved through IARD); |
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Filing of Annual Updating Amendments through IARD; and |
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Filing of Form U-4/U-5 for investment adviser representatives;
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Most importantly, your satisfaction is our top priority. Therefore, we guarantee the quality of our work and customer service.
Please read our Satisfaction Guarantee Policy for further details.
If you would like to discuss our services in detail, please call us toll-free at (800) 641-1818.
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| Investment Adviser Forms and Contracts |
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Whether you are starting a new practice and need to create customized investment adviser forms and contracts, or you simply
need an independent review of your existing forms or contracts, we can help.
We will use our experience and expertise to provide you with comprehensive compliance language and contractual requirements
when preparing and/or reviewing the following forms and contracts:
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Investment Advisory/Management Agreements and Contracts - Establish a solid and
comprehensive agreement between you and your investment advisory clients;
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Financial Planning Agreements and Contracts - Establish a solid and comprehensive
agreement between you and your financial planning clients;
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Solicitor Agreements - Expand your business through the use of solicitors who
can "introduce" potential clients to your firm;
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Schedule H (Wrap fee brochure) - Enjoy the benefits of consolidation and
sponsorship by "wrapping" your fixed rate investment management compensation together with
your transaction based commission fees through the use of a wrap fee program;
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Schedule F (Disclosure brochure) - We can review, revise and/or prepare a
comprehensive disclosure brochure for you to provide to your clients as you enter into an investment adviser
relationship.
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Most importantly, your satisfaction is our top priority. Therefore, we guarantee the quality of our work and customer service.
Please read our Satisfaction Guarantee Policy for further details.
If you would like to discuss our services in detail, please call us toll-free at (800) 641-1818.
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