(855) FORM-ADV
(855) 367-6238

Don't risk being out of compliance with the latest
securities regulations

Keeping up with all of the regulatory compliance changes can be a daunting task even for the best compliance team. Stay compliant by relying on the professional services of the Investment Adviser Support Compliance Team. Let us provide you with the confidence that your compliance program is meeting all of the requirements of the Investment Advisers Act of 1940 as well as the new requirements under the Dodd Frank Act and applicable states.

The Investment Adviser Compliance division is a full-service consulting firm providing registration and compliance services for investment advisers.

With more than 20 years of experience, our specialists can help you navigate through the maze of compliance issues facing your firm. Maintaining proper compliance requires great attention to regulatory deadlines and detailed filings. We provide comprehensive and sophisticated compliance support to help keep investment advisers compliant with an ever-changing framework of complex state and federal requirements, so that you can spend your time growing your business.

For New Investment Adviser Applicants

Investment adviser Compliance Solutions' staff can navigate your company through the arduous registration process. Our compliance consultants can serve as your guide by explaining in detail the registration process and ongoing requirements. We are highly skilled in delivering helpful, knowledgeable, and user-friendly support.

Investment Adviser Compliance Solutions can help your firm keep pace with the rapidly changing regulatory compliance environment. We can collaborate with your firm to help identify regulatory challenges and then work with your firmís managing principal(s) and/or chief compliance officer to build and implement practical solutions designed to meet your firmís regulatory responsibilities as a registered investment adviser.

For Ongoing Investment Adviser Compliance

Our staff also offers hands-on support services customized to your firm's needs including compliance consulting services or a la carte services as listed below.

Our PartnerProgram will deliver the services needed to keep your firm compliant with state and SEC regulations:

  • SEC and state registrations
  • Annual Review and Update to the Form ADV Parts 1 & 2
  • Review Client Agreement for consistency with elements of Investment Advisers Act of 1940
  • Written Supervisory Procedures (WSP) - Customized to your firmís business model Annual Written Supervisory Procedures update supplement
  • Annual and/or ongoing IARD* and WebCRD** filing services
  • Advertising materials review
  • Mock examination services or Books & Records exams
  • Access to Series 65 & 66 examination study materials
  • Compliance Newsletter
  • Electronic Regulatory Alerts
  • Compliance Consulting















Services


The Compliance Barometer
Every compliance program requires periodic testing to ensure that it is meeting the ever increasing regulatory scrutiny that financial firms are facing today and tomorrow. For new firms this can be critical in getting a sound compliance program up and running.
Let the Investment Adviser Compliance Team assist with developing cost effective compliance programs.
  • RIA Mock Exam
  • Books and Records set up
  • RIA SEC or state books and records review
  • Annual 206(4)7 testing