Registrations

We Currently Offer:

• Registration Preparation: Aiding firms in preparing and submitting Form ADV and other required registration documents to the SEC and applicable state regulatory authorities.

• Compliance Review: Conducting a review of the investment adviser's compliance policies and procedures to ensure they are in compliance with SEC IA regulations.

• Disclosure Documents: Preparing and updating disclosure documents, including the investment adviser's Form ADV Part 2A (brochure) and Part 2B (brochure supplements).

• State Registration: Filing and updating state registration applications as required, including registration and renewal fees.

• Annual Filings: Preparing and filing annual reports, including Form ADV amendments and other required filings.

• Correspondence with Regulators: Responding to inquiries and correspondence from regulatory authorities, including the SEC and state securities regulators.

• Regulatory Examinations: Assisting with regulatory examinations, including preparation of requested documents and participation in on-site examinations.

• Recordkeeping: Maintaining accurate and complete records in accordance with SEC IA regulations.

• Compliance Consulting: Providing ongoing compliance consulting to ensure that the investment adviser remains in compliance with SEC IA regulations.