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Starting a new investment advisory practice? Navigating the complex state and federal securities laws is no small task.

The professionals at AdvisorAssist can guide you through the maze of regulations, documentation and protocols and enable you to stay focused on transitioning clients and building your business.

The AdvisorAssist Registration Services include:

• Business Strategy Review. Our experienced Principals will conduct an in-depth interview with your firm to gain a full understanding of your intended business model. We will review all relevant aspects of your firm's strategy, ownership and experience to develop the foundation for your regulatory framework.
• SEC vs. State Registration. We will advise you as to the appropriate registration option(s) based on your initial assets and realistic growth targets.
• Prepare Entitlement Forms. Our professionals will work with the Financial Industry Regulatory Authority ("FINRA") to prepare the applications and funding of your accounting for registration. The entitlement process is required to gain access to the Investment Advisor Repository Database ("IARD"), which is the system used to file Form ADV.
• IARD Funding. Our professionals will advise you of the necessary amount to fund your IARD account to cover the registration costs for your firm and its Investment Adviser Representative(s) ("IAR").
• Form ADV Preparation. Form ADV, the "Uniform Application for Investment Advisor Registration", has two parts. Part 1A requires information regarding the background of your firm, its ownership, disciplinary history, places doing business, etc... Part II, the brochure, is an extensive description of your services, fees, types of clients, and other information. Our professionals will draft the appropriate responses to these complex requirements and ensure an accepted filing.
• State Notice Filings. For SEC applicants, we will determine which state(s) will notice filing (during initial SEC filing). Our professionals will prepare all applications for state notice filings via the IARD system.
• State Registration. For state applicants, our professionals will provide guidance on state-specific regulations and registration requirements. At the time of registration, we will prepare all applications and work with you to fulfill state requirements.
• Advisor Exams (Series 65 or equivalent). Our professionals will advise you on your options for meeting the competency requirements. For applicants that are required to sit for the Series 65 or 66, our professionals will complete the Form U10 necessary to open exam window. For applicants relying upon a professional designation exemption, our professionals will assist with filings these necessary support.
• IAR Registration (Form U4). Our professionals will prepare the necessary filing to register each IAR of your firm. We will review your business model and client accounts to advise you as to the states that each IAR will need to register.
• Regulator Inquiries. The SEC and state regulators often have questions or comments, especially with firms filing their initial ADV. Our professionals will manage any questions or comments from the regulator(s) to ensure you are filed quickly.

Let AdvisorAssist help keep your firm in compliance. If you would like to speak with one of our principals, fill out the form to the right or call us at 866.513.4042.