Full Service Investment Adviser Registration

Since 1983, NRS has been the leader in providing the only ‘turnkey’ approach to becoming registered. Our service includes the consulting services necessary to complete the required paperwork as well as tools necessary to begin a compliance program. The NRS Investment Adviser Full Service Registration service includes:

• Registration counseling for the advisory firm, and an extensive phone interview with the firm’s principals.
• Form ADV completion and filing, including all appropriate schedules.
• Filing of Principals & Officers with the appropriate regulatory body.
• Registration with the Securities and Exchange Commission or State of Domicile.
• One year subscription to NRS ComplianceEssentials™ for Investment Advisers. NRS ComplianceEssentials™ is the online source for compliance tools, documents, contracts, policies and procedures manuals and more. NRS ComplianceEssentials™ includes an Investment Adviser policies and procedures manual with sample language, model Investment Advisory contracts, Form ADV software including U-4’s and U-5’s, privacy notice creation wizard, rules and regulations database with state-by-state requirements written in plain English, a Model Code of Ethics with attestation tracking and archiving, as well as Regulatory Register each month.

Let the experts prepare the necessary paperwork to get you registered so that you can continue to grow your business.