Custom tailored Form ADV 2A specific to your firm and your state.
Custom tailored Form ADV 2B(s) for your firm's principals.
This is optional if you are a State registered investment adviser. However, for competition reasons, you may want one for your web site and to give to customers who request it.
Initial and ongoing updating of IARD/CRD and help with navigating eBill. Both Annual and other than annual amendments.
Each state is different, but we have worked with eighteen (18) different states on inital licensing of RIA firms. AL, AR, AZ, CA, CT, FL, GA, IN, KY, MA, MI, MN, MS, NH, OH, TN, TX, and WI. We are not limited to these 18 states. We can work with all 50 states.
When you are required to obtain licensing in a new state, then we spring into action. It does not matter which state you need licensing in as we can assist in all states.
State Securities Regulators routinely examine RIA firms. We know how to respond professionally and expeditiously to these requests.
Your IAA is the foundation of your business model. We help customize it to your firm and keep it updated with any needed changes.
Policies and Procedures are living breathing documents that need to be created, reviewed periodically and updated.
Every year, you are required to update and file your annual amendment in the IARD system before March 31st. We provide this service.
Throughout the year, you may need to update your documents and submit amendments through the IARD system. We provide this service as often as needed.