Registering as an Investment Adviser with the SEC or state regulators is increasingly complex. Completing the required registration documents requires time and expertise — whether you are a sole proprietor opening your own firm or a billion dollar private fund that is no longer considered exempt.
There is no reason to do it alone. NRS compliance professionals guide investment advisers through registration as you take the steps required to establish your practice.
compliance program design
Access to NRS ComplianceGuardian provides key documents (e.g. Disaster Recovery Plan and Privacy Notice), attestation management, annual review tool, and quarterly policy updates.