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 Proposes Amendments to Include Significant Treasury Markets Platforms Within Regulation ATS
    on January 26, 2022 at 4:30 pm

    The Securities and Exchange Commission today proposed rules to better protect investors and enhance cybersecurity by bringing more Alternative Trading Systems (ATS) that trade Treasuries and other government securities under the regulatory umbrella. […]

  • SEC Proposes Amendments to Enhance Private Fund Reporting
    on January 26, 2022 at 3:39 pm

    The Securities and Exchange Commission today voted to propose amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. The proposed amendments are designed to enhance the Financial […]

  • Former Financial Advisor Charged with Stealing $5.8 Million from Client
    on January 24, 2022 at 6:00 pm

    The Securities and Exchange Commission charged German Nino, a former securities broker and investment adviser representative for UBS Financial Services Inc., with stealing $5.8 million from a long-standing client.The SEC’s complaint alleges that […]

  • SEC Issues Awards Totaling More Than $40 Million to Four Whistleblowers
    on January 21, 2022 at 4:30 pm

    The Securities and Exchange Commission today announced three awards totaling more than $40 million to four whistleblowers who provided information and assistance in three separate covered actions.In the first order, the SEC issued an award of…

  • SEC Seeks Candidates for Investor Advisory Committee
    on January 19, 2022 at 4:00 pm

    The Securities and Exchange Commission is seeking 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 […]

DIVISION OF INVESTMENT MANAGEMENT NEWS