Adviser In A Box™

Package excludes SEC and State registration fees that range between $150 - $600. This third party fee is paid directly to the SEC or State of registration.

• Corporate Services

  • Assist with Broker-Dealer LLC Name

  • Assign a Registered Agent

  • File Articles of Organization

  • Create an LLC Operating Agreement

  • Obtain an EIN (Employer Identification Number)

  • Register for State Taxes (If Applicable)

  • Open a Business Bank Account

  • Apply for Business Licenses and Permits

  • Set Up Accounting and Record-Keeping Systems

• Registrations

  • Selecting a clearing firm and documentation review (if applicable)

  • Draft client agreements that outline the services provided, fees, and terms of the advisory relationship.

  • Guidance on third-party investment adviser platforms for building your client base and ensuring compliance oversight.

• Compliance

  • Create comprehensive compliance policies and procedures tailored to your firm’s operations. This includes a code of ethics, supervisory procedures, and other regulatory requirements.

  • Develop a compliance manual that outlines your firm’s policies and procedures for meeting regulatory requirements.

  • Designate a qualified individual as the Chief Compliance Officer responsible for overseeing and implementing the firm’s compliance program.

  • Developing an Anti-Money Laundering Compliance Program (AMLCP)

  • Documenting and training on a Customer Identification Program (CIP) 

  • Compliance Manual Creation/Customization/Review (Policies and Procedures)

  • Investment Advisory Agreements Creation and Review

  • Coder of Ethics

  • Solicitor Arrangements Creation and Review

  • Privacy Policy Creation and Review

  • Compliance Program Design: We design and implement a robust compliance program tailored to your business model, covering all aspects of regulatory compliance.

  • Chief Compliance Officer (CCO) Services: Access fractional CCO services to oversee your compliance framework and ensure ongoing FINRA and SEC regulations adherence.

  • Free 60-minute Consultation: Determine the correct regulatory path for your firm.

  • Personalized Strategy: We start with a detailed consultation to understand your business goals and develop a tailored strategy for your Broker-Dealer or Investment Adviser.

  • Regulatory Roadmap: Our experts clearly outline all regulatory requirements and milestones.

  • Staff Training: Comprehensive training programs for your team to ensure they are fully prepared to operate within the regulatory framework.

  • Ongoing Support: Continuous support and guidance throughout the initial setup phase and beyond, ensuring smooth operation and regulatory compliance.

• Draft and File Form ADV:

  • Part 1: Provide detailed information about your firm’s operations, ownership, clients, employees, business practices, affiliations, and disciplinary events.

  • Part 2: This section includes the narrative brochure (Part 2A) outlining your advisory services, fees, disciplinary information, conflicts of interest, and a brochure supplement (Part 2B) on key personnel.

  • Submit Form ADV using the IARD (Investment Adviser Registration System)

  • Facilitate payment for registration of the firm. The fees vary depending on registration with the SEC or state regulators.

• Technology

• Systems and Processes: We set up the essential operational systems and processes, including regulatory platforms, customer account management, and record-keeping systems.

  1. Cybersecurity and IT: Implement top-tier cybersecurity measures and IT infrastructure to protect your business and client data.

• Let us connect you with cutting-edge Investment Adviser platforms that leverage AI to reduce your workload and enable you to grow your business quickly.