A Seamless Transition From SEC To State Registration

Our experienced team has registered hundreds of firms with the state regulators. We can assist with all aspects of the transition from filings to training your team. Our SEC to State Transition Services include:

SEC to State Transition Services	Includes:
RIA Business Transition Consultation. Develop transition strategy to ensure timely compliance and risk mitigation while managing costs.
State Requirements. Prepare state specific requirements for primary state, as applicable.
Filing Entitlements. Obtain access for the IARD and CRD systems managed by FINRA.
Form ADV 1 Update. Review, update and file Form ADV Part 1A. Prepare ADV Part 1B.
Form ADV 2A. Review existing Form ADV Part 2A and enhance to meet state-specific requirements and preferences.
State Requirements. Prepare state specific requirements for primary state, as applicable.
Liaison to Regulators. Responding to regulatory inquiries and managing questions or comments to ensure timely registration.
Form ADV 2B. Review existing Form ADV Part 2B for each Investment Advisor Representative and enhance to meet state-specific requirements and preferences.
Form U-4. Review Form U-4 each Investment Advisor Representative to ensure accuracy and consistency with ADV 2. Review jurisdictions.
Compliance Program Review. Review Compliance Policies and Procedures to ensure adherence to state regulations, including:  Written Supervisory Procedures Code of Ethics Client Privacy Policy Business Continuity Plan Social Media Policy
Client Advisory Contracts. Review Client Advisory Contracts for adherence to state regulations, including fee billing and custody. Enhance or replace as appropriate.
Advertising Review. Advertising Review of website and firm presentations to ensure adherence to state regulations.
Compliance Training. Chief Compliance Officer training on state compliance responsibilities

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