Investment Advisors, Exempt Reporting Advisors, SEC Form D and Blue Sky, CFTC and NFA Exemption Filings (Commodity Pool Operator and Commodity Trading Advisor), Ongoing Compliance and Company Formations
We can help navigate the complexities of business filings and offer ongoing support, if requested, to ensure compliance with relevant regulations.
Why choose us
Practical regulatory knowledge: focused experience with SEC and state investment adviser rules and recent enforcement trends.
Customized approach: compliance programs aligned to your firm’s size, strategy, and risk profile—not one-size-fits-all templates.
End-to-end support: from initial registration through ongoing reporting, examinations, and material business changes.
All services delivered remotely.
Efficiency and accuracy: Experienced specialists who minimize filing errors and delays, reducing the risk of regulatory setbacks.
Transparent pricing: Clear service packages and upfront fees so you can budget with confidence.
Compliance-first approach: Proactive calendar management and reminders to prevent missed filings and penalties.
Scalable support: Whether you’re a solo founder, international entrepreneur, or scaling enterprise, our services expand with your needs.
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Prepare and register your firm with the SEC or state securities regulators, including the gathering of information related to assets under management, client types, investment strategies, and exemptions.
Prepare and file Form ADV (Parts 1 and 2), including narrative brochure content and required schedules.
Assist with Form PF and other private fund reporting where applicable.
Prepare compliance policies and procedures tailored to your business model (CFP, fiduciary standard, insider trading, custody, custody rule procedures, advertising, and personal trading).
Create or review client agreements, disclosure documents, privacy notices, and custody arrangements to align with regulatory expectations.
Implement ongoing compliance programs: annual reviews, code of ethics, training plans, books and records retention, and risk assessments.
Help with state notice filings, blue-sky filings, and coordination of multi-state registration where necessary.
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Prepare and file Form ADV (Part 1) as an ERA, including private fund reporting, prepare Form ADV Part 2A (Brochure), written compliance policies and procedures, and state notice filing if required.
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Preparation and electronic submission of federal and state filings, including Form D notices, exemption filings, Blue-sky, and annual compliance.
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Commodity Trading Advisor and Commodity Pool Operator exemption filing and annual compliance.
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Annual report filings, registered agent maintenance, corporate minute templates, and deadline tracking to keep your business in good standing.
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LLCs, corporations, limited partnerships — we handle filings, registered agent services, EIN applications, and formation documents so your business is legally ready to operate.
Typical timeline
Initial assessment and documentation plan: 1–2 weeks.
Preparation and filing of Form ADV and related materials: 2–4 weeks, depending on complexity.
Compliance program implementation: 2–6 weeks, scalable to firm needs.
Get started by providing us with basic firm information (AUM, client types, planned services, existing registration status).