Registration Process

The basic process used to file the initial registration of an investment advisor is:

  1. Phone interview to discuss business to be done.
  2. Draft Form ADV is created and forwarded to client for review.
  3. Comments regarding Form ADV are received and revisions are made to the document.
  4. Final draft of Form ADV and other required documents are sent to client for execution.
  5. Executed documents are received and registration package is submitted to the appropriate regulatory agency.
  6. If comments are received from the agency, a response is prepared and submitted.
  7. A complete set of files containing copies of all submissions to regulatory agencies is provided to client.
The registration package will include any documents required for registration, including a "generic" investment advisory agreement, if needed.