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