Need assistance moving to or from SEC registration?
Our experienced team has registered hundreds of firms with the U.S. Securities and Exchange Commission (“SEC”) and every one of the State Securities Regulators. We can assist with all aspects of the transition from filings to the redesign of your compliance program to the training your team.

SEC to State transition
AdvisorAssist has extensive experience working with each of the state regulators. We have successfully completed thousands of registrations with the various state examiners. Our experience with the securities regulations, expectations and nuances of each state will make your transition as smooth as possible.

As each state has its unique requirements, you cannot simply pay the registration fees and file your SEC Form ADV. AdvisorAssist will work closely with you to gain a thorough understanding of your business practices, target clients, and other unique aspects of your business.

State to SEC transition
For those firms that now meet SEC registration guidelines, AdvisorAssist will ensure proper registration with the SEC and development of a new compliance framework pursuant to the Investments Advisers Act of 1940 (the “Advisers Act”). The SEC does not review your registration extensively upon initial filing. It is your responsibility to ensure that your firm meets all applicable guidelines and has proper disclosures and controls.