Regulatory Filings

We Currently Offer:

We can prepare your firm to properly file, and in some case even automate monthly reporting or outsource time consuming task for all the below required filings:

• Form ADV: Preparing and filing Form ADV with the SEC and applicable state regulatory authorities, including initial registration, annual amendments, and other required updates.

• Form PF: Preparing and filing Form PF with the SEC, as required by certain investment advisers who manage private funds.

• Form D: Preparing and filing Form D with the SEC and applicable state regulatory authorities, as required by investment advisers who engage in private placements of securities.

• Other SEC Filings: Preparing and filing other required filings with the SEC, such as Form 13F and Form 13G, as required by certain investment advisers who manage portfolios exceeding certain thresholds.

• State Filings: Preparing and filing state regulatory filings as required by applicable state securities regulators.

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

• Regulatory Research: Conducting research on applicable regulations and requirements to ensure that the investment adviser is aware of all regulatory filings requirements.

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

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