Keep you disclosure and registration current.
AdvisorAssist offers complete registration support of your firm and its employees.
With our Annual Registration Service, our experienced professionals with monitor and maintain your registration with the SEC and/ the State Regulators. We will ensure timely filing all all annual amendments and interim updates for your firm, including:
- Annual Form ADV Review, Update and Filing. Our professionals will review your registration and disclosures for any changes in your business practices and regulations. We'll update Form ADV Part 1, ADV Part II and Schedule F (and your customized Brochure, if applicable).
- Interim Form ADV Updates. We provide unlimited updates through out the year for any changes to your business practices (services, fees, ownership, etc.) or for regulatory changes. We securely maintain all filed versions and relevant comments to aid with your record keeping requirements.
- State Registration Monitoring and Notice Filing. AdvisorAssist will provide ongoing guidance regarding the registration or notice filing requirements in the state(s) in which you conduct business. We will ensure your firm and Investment Advisor Representatives are properly registered.
- Wrap Programs. If you are the advisor to a warp program, our professionals will prepare or revise Schedule H of your Form ADV and related disclosures.
- IAR Registration Review. Review and recommend which associated persons should be registered with the SEC and/or State(s). File all applicable U-4 Forms to update the IAR registration and any U5 Forms to remove an IAR, applicable.
- Secure Record Keeping (Advisor Portal). AdvisorAssist will maintain copies of all registration information for all relevant periods for in your personal, secure Advisor Portal.
For additional information on the Annual Registration Services, please complete the adjacent form or call us at 866.513.4042.
Request Information
For more information and pricing, please complete the form below or call us at 866-513-4042.
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