RRS’ staff has over 15 years of experience dealing with state and federal registration, licensing, and filing issues, which have resulted in the registration of over 1,000 state and federally licensed investment advisers and thousands of registered investment advisory representatives. Whatever your registration or licensing needs, RRS has the experience to guide your firm through any registration or licensing process.
Initial SEC or State Applications – Leveraging our regulatory expertise, we guide firms through the SEC and State Investment Adviser application process. This includes organization and start-up counseling, assistance with registration filings through the Investment Adviser Registration Depository (IARD), professional preparation of Form ADV Part 1 and Part 2, creation of a compliance program and accompanying supervisory policies and procedures, filing and follow-up with the SEC and your “home” state, and operational consulting.
State Applications – RRS’ expertise in state registration requirements for firms and individuals facilitates our ability to file and monitor applications with state regulatory agencies in a prompt and efficient manner.
Renewals & Amendments – RRS assists firms with their annual Form ADV filings and ongoing firm and agent registration requirements.
IARD Training – RRS can train your staff on the multiple features of IARD.