Ready for the 2012 Renewal of your RIA?

AdvisorAssist offers complete registration support of your firm and its employees.

With our Annual Registration Service, our experienced professionals will review your RIA’s registration and ensure that your firm maintains proper registration with the Securities and Exchange Commission (“SEC”) and/or the State Regulators.

The AdvisorAssist Registration Renewal service includes:

Form ADV 1. Complete review and update of Form ADV Part 1A and Part 1B (State advisors). Includes the November 2011 changes to the ADV 1.
Form ADV 2A. Complete review and update of Form ADV Part 2A to meet the requirements of the SEC and applicable state regulators. Cross reference ADV2A with ADV1, client agreements and business model documents.
Form ADV2B. Review and File Form ADV2B – the Brochure Supplement for your Investment Advisor Representatives (“IARs”). Ensure Brochure Supplements meet all state requirements.
Registration Requirements. Research and validate applicable SEC and/or state requirements for firm and advisory persons.
Calculation of Regulatory Assets. Assist with the proper calculation and support requirements for your RIA’s assets under management and the definition of a “Client” and “Account”.
State Supplemental Requirements. Assist with the preparation, review and filing of state specific requirements, including annual financial requirements, affidavits, fees, etc.
Liaison to Regulators. Responding to filing inquiries and manage questions or comments on registration materials.
Form U-4. Review Form U-4 for each Investment Advisor Representative for consistency with Form ADV2B and other requirements.
ADV 2 and Privacy Policy Delivery. Preparation of the communication for the annual delivery of Form ADV 2 and your Privacy Policy.
Annual Compliance Meeting. AdvisorAssist can support your CCO in conducting its annual training on compliance responsibilities, including Code of Ethics, Use of Technology, Information Security, Social Media and other critical policies.
Other Services:
SEC to State Transition. Are you a mid-size advisor that needs to transition from SEC to State regulation? Leverage the experience of our professionals that are experienced in working with all 50 state regulators and U.S. territories.	Learn more
Ongoing Compliance and Regulatory Support. AdvisorAssist is here to support your ongoing compliance needs.	Learn more
Email Monitoring and Archiving. Stay productive and compliant with the right email and archiving solution.	Contact Us

Please call us at 866.513.4042 or complete the adjacent form to discuss your specific situation and obtain pricing.