The registration requirements for investment advisers can be complex depending upon the nature and location of the adviser and its clients, the amount of assets under management, the type of investments included in portfolios and whether the adviser manages separate accounts, private funds or both. The professional staff at SCA has the expertise necessary to evaluate your registration status and, if required, register your firm with the appropriate regulator (SEC, CFTC, and/or applicable states).

Our all-inclusive registration services include the following:

  • Conduct an initial review of the business
  • Prepare and file Form ADV with the SEC or state regulators
  • Register all investment advisory representatives as required
  • Prepare and file required registration forms with the CFTC/NFA
  • Prepare and submit all additional documents required by regulators
  • Communicate with regulators regarding registration issues
  • Develop a formal risk assessment
  • Prepare a customized compliance program including compliance policies and procedures, code of ethics and system for execution
  • Conduct training