Investment Advisors

Investment adviser compliance and adviser registration made easier

Investment advisers know that compliance can be complicated. Their clients rely on them to manage and protect investments, and part of that responsibility is ensuring they have a sound adviser compliance infrastructure. Investment adviser registration is made easier with ComplianceNow.

From preparing the application paperwork to negotiating with state and federal regulators, our experts will help you gather the necessary records, create and implement policies and procedures. And, all along the way, we’ll provide you with ongoing consultation as we streamline the process for you. ComplianceNow will assess an adviser’s particular circumstances and customize compliance policies and procedures to create an effective, precisely tailored compliance solution.

The investment adviser services offered by ComplianceNow include:

  • SEC and state adviser registration applications
  • Completion or review of Form ADV Part I
  • Completion or review of “Plain English” Form ADV Part 2
  • Annual review of Form ADV and annual updating amendment filing
  • Notice filings
  • Compliance policy and procedure development
  • Customized written supervisory procedures manuals
  • Onsite mock compliance examination
  • Web IARD/CRD services
  • Advertising and sales literature reviews
  • Complete ongoing compliance consulting