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
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- SEC Updates List of Firms Using Inaccurate Information to Solicit Investorson September 15, 2023 at 1:34 pm
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- SEC Charges Connecticut Advisory Firm GlennCap and its Owner with Cherry-Pickingon September 14, 2023 at 8:48 pm
The Securities and Exchange Commission today announced settled fraud charges against GlennCap LLC, a Connecticut-based investment advisory firm, and its owner, Jonathan Vincent Glenn, for allocating profitable securities trades to favored […]
- SEC Proposes Improvements to EDGAR Filer Access and Account Managementon September 13, 2023 at 8:20 pm
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- SEC Charges Creator of Stoner Cats Web Series for Unregistered Offering of NFTson September 13, 2023 at 2:00 pm
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DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con September 18, 2023 at 11:55 am
Proxy Rules and Schedules 14A/14C
- Sample Letter to Companies Regarding Their XBRL Disclosureson September 7, 2023 at 9:30 pm
The illustrative letter contains sample comments that, depending on the particular facts and circumstances, and type of filing under review, the Division may issue to certain companies.
- Exchange Act Form F-SRon August 30, 2023 at 10:00 pm
Section 113. Form F-SR
- Manipulative and Deceptive Devices and Contrivances: Section 120, Rule 10b5-1on August 25, 2023 at 4:40 pm
- Section 133A. Item 408 b - Insider Trading Arrangements and Policieson August 25, 2023 at 4:40 pm