Investment Advisor Registration Services. Is it time for you to have your own independent registered investment advisory firm? Is so, Registered Advisor Services can help you through the process of registering both your firm, and you individually, with the appropriate state or federal regulators depending upon your business model.
Investment Advisor Registration Services
Our process is to understand what your goals are for your new firm and how you intend to invest your client’s assets. We can help with recommending custodians and service providers to help ease your transition into your new role as the owner of your new advisory firm.
Once we understand your goals, we are then charged with preparing your initial documents, such as, the Form ADV Part 1, Form ADV Part 2A Brochure, Form ADV Part 2B Brochure Supplement, Form U4, Client Agreements, Compliance Manual and any state specific forms that are required to complete your registration.
Timeline for registration
After you have signed off on the documents with your approval of how your firm is described, your documents are then submitted to the appropriate regulator. Once submitted, the regulators, both federal and state, have between 30 to 45 days to review the application and respond back with any questions. We respond as efficiently as possible to help keep your application in the que with the regulators, so that your registration may be effective as soon as possible.
Registered Advisor Services offers a free initial consultation to discuss your needs and goals. Contact us today and get your firm up and running soon!
