Full service SEC and State registration
When examining an RIA, the first document securities regulators see is the firm’s Form ADV. RIAs will not make a good first impression if their Form ADV is inaccurate. Furthermore, an RIA’s Form ADV disclosure brochure must be written in plain English and in language that unsophisticated investors will understand. RIA Compliance Group will work hand-in-hand with you, so that your Form ADV is spot on and captures what makes your firm different from other advisers. A carefully constructed Form ADV disclosure brochure will satisfy regulators and will tell prospective clients what sets you apart from other RIAs.
We will help you set up and fund your IARD account. After conducting a thorough interview of your firm’s principals, we will prepare the following:
- Form ADV Part 1A
- Form ADV Part 2A
- Form ADV Part 2B
- Form ADV Schedule A
We will also draft your firm’s ADV Part 1B, Part 2A Appendix 1 (Wrap Brochure), Schedule B, Schedule D, and submit your investment adviser representative (“IAR”) and solicitor registrations, where required.
With the help of RIA Compliance Group, investment advisory registration and SEC RIA registration can be completed quickly and efficiently due to the experience and knowledge we bring to the table.
You can download a full description of the investment adviser registration process here
SEC NEWS
SEC NEWS
- SEC Adopts Reforms Relating to Investment Advisers Operating Exclusively Through the Interneton March 27, 2024 at 2:00 pm
The Securities and Exchange Commission today adopted amendments to the rule permitting certain internet investment advisers to register with the Commission (the “internet adviser exemption”). The amendments will require an investment adviser […]
- SEC Seeks Candidates for Investor Advisory Committeeon March 26, 2024 at 8:15 pm
The Securities and Exchange Commission is seeking five candidates for appointment to the Investor Advisory Committee to help protect investors and improve securities regulations. The Committee was established under the Dodd-Frank Wall Street Reform […]
- SEC Charges Former Arista Networks Chairman Andy Bechtolsheim with Insider Tradingon March 26, 2024 at 12:46 pm
The Securities and Exchange Commission today announced insider trading charges against Andreas “Andy” Bechtolsheim, the founder and Chief Architect of Silicon Valley-based technology company Arista Networks, Inc. To settle the SEC’s charges, […]
- SEC’s OMWI FY 2023 Annual Report Highlights the Agency’s Diversity, Equity, Inclusion and Accessibility Initiatives and Progresson March 21, 2024 at 12:57 pm
As part of its continuing efforts to promote diversity, equity, and inclusion with regulated entities, the Securities and Exchange Commission’s Office of Minority and Women Inclusion (OMWI) published two reports: the 2022 Diversity Assessment […]
- SEC, NASAA, and Georgia Secretary of State to Host Investor Roundtables at University of North Georgia and Dalton State Collegeon March 19, 2024 at 5:00 pm
The Securities and Exchange Commission today announced that it will join the North American Securities Administrators Association (NASAA), the Georgia Secretary of State, the University of North Georgia, and Dalton State College to host joint […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con March 29, 2024 at 3:26 am
Proxy Rules and Schedules 14A/14C
- Compagnie Maritime Belge NVon February 9, 2024 at 3:50 pm
Response of the Office of Mergers and Acquisitions
- Aon plcon January 25, 2024 at 4:05 pm
Waiver Request of Ineligible Issuer Status under Rule 405 of the Securities Act of 1933
- CF Disclosure Guidance Topic No. 7.on January 8, 2024 at 9:17 pm
Confidential Treatment Applications Submitted Pursuant to Rules 406 and 24b-2
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson December 14, 2023 at 10:30 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents