SETTING UP A BUSINESS IS DIFFICULT, LET US GET YOU REGISTERED WITH EASE

RIA
$3,000-$10,000

Qualify as an exempt reporting adviser? You must either advise solely private funds with less than $150 million in AUM or solely venture capital funds as defined by the SEC.

  • Guaranteed a specialist with a minimum of 5 years direct compliance experience
  • FINRA Entitlement Form to establish IARD/Web CRD account
  • Form ADV Part 1A (as applicable)
  • U4 filings for investment adviser representatives (as applicable)
  • Customized compliance manual covering a minimum:
    • Anti-fraud Provisions
    • Anti-money Laundering
    • Books & Records
    • Code of Ethics
    • Pay to Play
    • Privacy & Cybersecurity
    • Proxy Voting
    • Regulatory Filings & Disclosures
  • Unlimited correspondence with regulatory bodies until registration is processed
  • Compliance training to prepare business for status as an exempt reporting adviser
Purchase

BD
$12,000-$135,000+

Whether you're establishing a limited purpose broker dealer or an ATS, our specialists can help! Check off the business lines your intend to provide and get matched with a seasoned expert to navigate you through the registration process.

  • Guaranteed a specialist with a minimum of 5 years direct compliance experience
  • Identify lines of business
  • Broker dealer business plan
  • Pro-forma P&L projections and justifications
  • Form BD
  • FINRA Entitlement Form to establish IARD/Web CRD account
  • FINRA New Membership Application
  • U4 and U5 filings (as applicable)
  • State bluesky filings (as applicable)
  • Preparation for Pre-Membership Interview
  • Customized compliance manual covering a minimum: 
    • Anti-money Laundering
    • Business Continuity Plan
    • Code of Ethics
    • Communications with the Public
    • Continuing Education 
    • Customer Relations
    • Investment Product Descriptions
    • Licensing, Registration, and Documentation
    • Privacy & Cybersecurity
    • Recordkeeping & Reporting
    • Rules Regarding Sales
    • Supervisory Procedures
  • Unlimited correspondence with regulatory bodies until registration is processed
  • Compliance training to prepare business for status as a registered broker dealer
Purchase