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.
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.