General Info

General Registration / On-Going Compliance Requirements

Initial Registration Process
Registered Investment Advisor firms may be regulated by either the SEC or various state Regulators, depending upon your firm’s circumstances. There are a number of factors that may influence where your firm is best registered. Some of those factors may be, what you anticipate the total dollar amount of your assets under management to be soon after your firm is approved, how many states you will have clients in, or whether you will be managing a portfolio of a registered investment company. How you will operate your business may require you to register with or apply for an SEC exemption, or simply register in the state where your firm has its principal place of business.

Understanding when to file with the SEC, identifying the states in which to file, and knowing the varying filing requirements of each state is critical to the proper and timely registration of your firm.  Registered Advisor Services can help you understand the registration process to ensure your firm is compliant with the appropriate regulatory body. For more information, visit our Registration section.

Investment Advisor Representative Qualification
Firms are required to register individuals who will be providing investment advice to your clients. Individuals of both SEC and state registered firms are required to be registered with the state regulators. Most of the states require Investment Advisor Representatives to hold a current Series 65 or 66 examination or certain professional designations. For more information on this important topic, visit the FAQ section.

Ongoing Compliance Services
A firm’s compliance requirements do not stop once your firm becomes registered with the regulators. Registered Investment Advisors are required to follow annual SEC or state filing ongoing compliance requirements depending upon which regulatory body your firm is registered with. We understand your main focus is working with your advisory clients and helping to manage their money. Registered Advisor Services is here to work as your partner to maintain your annual compliance requirements and keep you in compliance with your regulator. For more information about our ongoing compliance services, visit our Ongoing Compliance section of this site.

Registered Advisor Services can manage all aspects of the initial registration, Investment Advisor Representative registration and ongoing compliance requirements for your firm and its employees. If you would like more information on any of these topics, please either fill out the form on this page or call us at (603) 292-6772.