We assist in the RIA registration process from start to finish.
We routinely assist advisers with setting up their entity by providing the following services:
- Register entity with Secretary of State
- Obtain Federal Tax ID
- Obtain employer tax and worker’s compensation documentation in local jurisdiction
- Draft operating agreement
- Preparing and filing Parts 1A and 1B of Form ADV with the IARD for your firm
- Preparing registration forms for each proposed investment adviser representative, after confirming each proposed individual’s obligation to register
- Preparing and filing Forms U-4 with FINRA’s Central Registration Depository (“CRD”) online system for each of your firm’s investment adviser representatives (“IARs”)
- Drafting Parts 2A and 2B of your firm’s Form ADV – known as the Investment Adviser “brochure, ” where you explain your qualifications, investment strategies, and practices
- Monitoring your firm’s filings through regular and constant communication with the appropriate examiners.
- Interfacing with regulatory personnel and responding to any deficiency letters
- Preparing a customer account agreement for investment management services to be used with your advisory clients, which is customized based on Georgia’s specific regulations and policies (some states prohibit hedging clauses, arbitration clauses, etc.)
- Preparing solicitor agreement
Initial Compliance Services
- Developing a set of policies and procedures (i.e. a Compliance Manual and Code of Ethics) that coordinates with your firm’s business operations.
- Preparing a business continuity plan to document your firm’s preparedness in the event of a disaster or loss of key personnel.
- Assisting with the implementation of your firm’s compliance procedures by establishing a “compliance calendar,” recommended compliance file system, and providing compliance training which includes an overview of the State’s record keeping requirements
- Providing basic compliance support during the first 90 days of your firm’s operations following the effective registration date