With our Annual Registration Service, our experienced professionals will review your RIA’s registration to ensure that your firm and all of its advisory persons maintain proper registration with the securities regulators. The U.S. Securities and Exchange Commission ("SEC") and the North American Securities Administrators Association ("NASAA") have reported that inconsistencies and disclosures issues with Form ADV are among the top deficiencies noted in regulatory examinations.

AdvisorAssist brings its deep experience with the SEC and all of the 50 state securities regulators to each advisor engagement. As part of our annual review services, we perform a thorough review of your firm’s Form ADV1, ADV2A (“Disclosure Brochure”) and the Form ADV2B (“Brochure Supplement[s]”) for each of your advisory persons.