If you are about to register with the SEC, the regulatory landscape can be overwhelming. IACC will simplify the process by helping you set up your business and navigate through SEC registration requirements. When you choose the New RIA Solution, IACC will:

  • Provide new RIA business planning and start-up counseling
  • Assist with FINRA Entitlement Set-Up
  • Draft and file SEC registration documents: Form ADV Part 1, 2A, and 2B
  • Create a tailored compliance program and manual
  • Provide operational consulting and ongoing support for any additional registration requirements as they arise
  • Train staff on IARD
  • Assist with Form ADV amendments and ongoing registration requirements

Pin It on Pinterest