Investment Adviser - Full Service Investment Adviser Registration

The National Securities Markets Improvement Act of 1996 created a jurisdictional divide in the regulation of investment advisers. Generally, those advisers managing assets of $30 million or more, advisers in states which currently do not register advisers, and advisers to registered investment companies, are required to register and be regulated solely by the SEC.

The professional staff at SCA has the expertise necessary to effectively organize your investment adviser registration. SCA registers advisory firms with the SEC or states as required, and provides the following:

• Initial consultation;
• Preparation and filing of Form ADV Part I and all applicable schedules through lARD;
• Preparation of Form ADV Part II or an equivalent document for use as your client brochure;
• Registration of all investment advisory representatives through lARD;
• Preparation and submission of all additional documents required by regulators;
• Customized Compliance and Supervisory Manuals;
• Customized Codes of Ethics;
• Sample investment advisory agreements; and
• Training on the lARD system.