BUSINESS FILING
& COMPLIANCE SERVICES
WE SPECIALIZE IN:
INVESTMENT ADVISORS
Initial Investment Advisor Registration with the SEC or State Securities Division
Exempt Reporting Advisors
COMPLIANCE
Ongoing Compliance Packages for Investment Advisors
SEC REGULATION FORM D FILINGS
SEC 506 (b)
SEC 506 (c)
CFTC and NFA EXEMPTIONS for commodity pool operators (CPOs) and commodity trading advisors (CTAs).
Firm Exemptions
Pool Exemptions
BUSINESS START-UP PACKAGES
Includes forming your company, such as Limited Liability Company, Limited Partnership, Corporation, and S-Corporations, in any state
Obtain Tax Identification Number for your company
Operating agreement for your Limited Liability Company and Limited Partnership
EXPERIENCED
TRUSTED
PROFESSIONAL