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. Rely on NRS for:

  • Direct guidance and assistance in drafting your firm’s Form ADV documents, and SEC and state documents as required,
  • Development of the firm’s policies and procedures customized for your compliance program, and
  • Access to NRS ComplianceGuardian™, NRS’ trusted compliance platform that provides the documents and ongoing policy support required to design, implement and maintain your compliance program.