If you are looking to register as an Investment Adviser with SEC or state regulators, there’s no reason to do it alone. Rely on NRS to guide your firm through the complex web of registering you, as you establish your practice.
Our registration services address key factors including registration filings and compliance program design, while providing ongoing compliance support.
registration filings
Your NRS Consultant will prepare and file your Form ADV, including all applicable schedules, fulfill SEC or state registration requirements, and the filing of principals and officers (up to 4) with the appropriate regulatory body. as required.
compliance program design
Assistance in drafting of the firm’s policies and procedures and Code of Ethics, including a synched compliance task list in ComplianceGuardian.
Access to NRS ComplianceGuardian provides key documents (e.g. Disaster Recovery Plan and Privacy Notice), attestation management, annual review tool, and quarterly policy updates.
a trusted partner
Ongoing compliance support from a dedicated consultant tailored to meet your specific business needs, allowing you more time to grow your business.