New Adviser Assist Program

We assist new advisers with developing critical compliance documents and updating and/or submitting required regulatory filings. Our new adviser program includes:

  • Developing Forms ADV┬áParts 2A and 2B
  • Filing Form ADV Parts 1 and 2A
  • Creating privacy notices
  • Updating and filing Form U4
  • Developing the code of ethics in accordance with Rule 204A-1 of the Investment Advisers Act
  • Developing written policies and procedures in compliance with Rule 206(4)-7, current regulatory requirements and industry best practice
  • Unlimited remote consulting

We promote open and consistent communication throughout the entire engagement by offering unlimited consulting. Consulting via phone, email and web conferencing is included for the duration of the engagement. We encourage you to contact us at any time with questions pertaining to the scope of the engagement.