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