Investment Advisor Registration

Compliance Advisor Professionals, LLC (CAP) partners with firms planning to register as an investment advisor with the United States Securities and Exchange Commission (SEC) or with state securities regulators. The regulator with which an investment advisor must register depends on the amount of assets under management (AUM). We offer our clients comprehensive guidance and service throughout the investment advisor registration process, whether federal or state.

The investment advisor registration process includes the filing and construction of several documents to comply with SEC and/or state rules and regulations. Part of the registration requirements includes the development of a Compliance Program. We often refer to the Compliance Program as a “three-pegged stool,” which includes Form ADV Part 1, Form ADV Parts 2A and 2B, and Form U4 filings (disclosure documents), as well as any firm marketing materials. All of these form the top of the “stool”. Supporting these are the three pegs: the Compliance Manual, the Code of Ethics, and the Business Continuity Plan. Our goal is to build a registration package that will serve as a well-constructed foundation for our client’s business.

Our team includes a CPA and former Chief Compliance Officer with in-depth, hands-on experience with the registration process. We offer our clients as much support as they need throughout the registration process, walking them through each step, educating them and making them partners in the process as we complete each filing and document on their behalf.

As with all of our services, we tailor our assistance to the needs of the individual client. We offer registration services as a complete package, on a retainer or fixed fee basis.

Our complete registration package includes:

  • Unlimited telephone consulting on compliance matters
  • Obtaining entitlements for access to the Investment Adviser Registration Depository (IARD) system
  • Preparation and filing of:
    • Form ADV Part I
    • Form ADV Parts 2A, 2B, and Form ADV Part 2A Appendix 1 (Wrap Fee Brochure), as applicable
    • Form U4 and U5 filings
    • Assistance with SEC inquiries or state regulatory inquiries
  • Development of a customized Compliance Program, including:
    • Compliance Manual
    • Code of Ethics
    • Business Continuity Plan
    • Compliance Checklist
    • Written Information Security Plan
    • Privacy Notice
  • Review of marketing materials, as needed
  • Compliance training for staff

The team members at CAP look forward to working alongside you to complete the Investment Advisor Registration process, and assist you with your compliance needs going forward.