Investment Adviser Registration


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.

registration filings

Investment Adviser Notes
Your NRS Consultant will prepare and file your firm’s Form ADV, including all applicable schedules, fulfill SEC registration requirements, and the filing of principals and officers (up to 4) with the appropriate regulatory body, as required.

compliance program design

Investment Adviser Files
Drafting of the firm’s policies and procedures and Code of Ethics, including a synched compliance task list.

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

Investment Adviser Notebook
Ongoing compliance support from a dedicated consultant tailored to meet your specific business needs, allowing you more time to grow your business.

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