We provide comprehensive support for your SEC registration process, from advice to document completion, we are with you every step of the way.
Registration with the SEC can be a daunting task. Helping register your business with the SEC is where we learn the most about you and sets the foundation for a long-term partnership.
Advice
We learn about your business and listen to your plans to help you evaluate how the SEC’s rules apply to your business and what you need to do to stay compliant.
Form ADV Completion
To register as an investment adviser, a private equity manager must complete and submit Form ADV. We help you organize the requirements, collect the required information, complete data entry for Part 1 and draft Part 2 (the Brochure).
Compliance Manual
We work with you to create a Compliance Manual that reflects your business practices and conforms with the SEC’s rules and expectations.