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Full
Service IA 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 state as required, and provides the
following:
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Initial
consultation |
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Prepare and
file Form ADV Part I and all applicable schedules through
lARD |
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Prepare Form
ADV Part II or an equivalent document for use as your
client brochure |
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Register all
investment advisory representatives through lARD |
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Prepare and
submit all additional documents required by regulators |
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Provide
customized Compliance and Supervisory Manual |
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Provide
customized Code of Ethics |
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Provide sample
investment advisory agreements |
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Provide
training on the lARD system |
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Assign a SCA
consultant to answer questions throughout the registration
process |
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