Solution introduction
We will help guide you through the initial state or SEC RIA registration
Providing assistance with the following:
- Initial setup of the FINRA IARD/CRD account
- Preparation, organization, and submittal of the various supplement documentation needed
- Creation of the Form ADV Part 2A and Part 2B disclosure brochures
- On-going consultations and communications with regulators during the registration application process
- CCO compliance training after your RIA is approved
- Etc...
