Investment Adviser Registration
Trust the compliance experts to successfully register your advisory firm.
Registering as an investment adviser with the SEC or the states is not a simple matter and is becoming more complex. Whether you’re a sole proprietor breaking away from your broker-dealer or a billion dollar private fund no longer exempt, completing the required registration documents may appear easy, but doing it properly is more difficult and complex than most appreciate. With more than 25 years of experience in providing customized compliance services and solutions to the financial services industry, NRS can guide investment advisers through the demanding registration requirements with cost-effective, practical and streamlined compliance services.
NRS Consultants will:
- Invest significant time in the process, between 25 and 35 hours of organization and start-up counseling
- Draft your firm’s Form ADV, Parts 1 and 2, including any required disclosures and any necessary SEC or state application documents for your firm and other individuals, as required
- Offer you guidance and recommendations on how your firm should begin organizing and implementing your compliance program
NRS registration services also include a subscription to NRS ComplianceGuardian™ which provides many of the documents and tools your firm needs to design, implement and maintain your compliance program.
For more information on Investment Adviser Registration, contact us today.