Investment Advisor ServicesInitial SEC Registration and Regulatory Filings

RND Resources Inc provides comprehensive consulting services for investment advisors. Whether you are establishing a new RIA firm or would like on-going monitoring and form filing support, we have the expertise you need.  As a full-service consulting firm we’re capable of handling all your regulatory challenges. Our services integrate; business planning, compliance, operations, trading, and registration into one coordinated program. We’ll grow with you and help you grow.

RIA Firm Formation and Registration Services

Forming a new RIA firm can be a daunting task to handle all your own. Gain a competitive advantage at the start by working with an experienced consultant who will provide guidance aligned with your overall goals for the firm. Our consulting services can be quoted on a fixed fee, hourly basis, or on-going monthly retainer; so you have flexibility to decide what works best for you.

New RIA Firm Consulting Services

  • Strategic planning meeting to coordinate firm goals with projected registration needs, risk assessment, and regulatory requirements
  • Prepare and file FORM ADV in IARD; along with applicable schedules
  • Register investment advisor representatives in IARD system
  • Prepare WSP – Written policies and procedures manual customized to your firms supervisory system
  • Prepare solicitor agreements, marketing review, code of ethics, business continuity plan, privacy policy
  • Training for CCO, administrative staff, and advisors on policies and procedures and IARD system
  • File additional documents and form filings as needed
  • File Amendments to Form ADV as needed
  • Conduct risk assessment and annual compliance review

Full Service SEC and State Registration

Drafting your Form ADV should not be a one size fits all process. The consultants with RND Resources will work closely with you to define your unique business model. We assist in setting up and facilitating the funding of the IARD account. And, after conducting a thorough interview with your firm’s principals, we will prepare the following:

  • Form ADV Part 1A
  • Form ADV Part 2A
  • Form ADV Part 2B
  • Form ADV Schedule A

We will also draft your firm’s ADV Part 1B, Part 2A Appendix, Schedule B, Schedule D and submit your investment adviser representatives (“IAR”) and solicitor registrations, where required. While many compliance firms attempt to maximize their volume of clients by utilizing catch-all disclosures, we focus on your individual needs and strive to succinctly describe your firm’s services.

Our easy to read and clear approach facilitates regulators’ understanding of your services and expedites the overall registration process. Carefully-crafted disclosures are also a valuable tool in explaining services to prospective clients.

Mock SEC Audits, Suprise Custody Exams, and Internal Control Reports

The climate for RIA examinations is increasingly stringent. Today’s RIAs can expect a rigorous examination of their books and records. In many cases, examinations are prompted by a tip or complaint, making the experience much more adversarial than usual.

Often times, firms only have a few days to prepare for an in-depth examination. And, RIAs may be required to supply hundreds of documents with short notice.

With so much at stake, RIAs need not go it alone. RND Resources can assist you in preparing for the most difficult exam. Our mock audits alert you to potential compliance problems before an examiner gives you the bad news in person. And, we offer litigation support and expert witness services should your situation escalate. 

Advertising Content and Marketing Review

Advertising is important to growing your business.  Many clients, especially new advisory firms, don’t know where to begin or what disclosures are necessary. Let us help take the guess work out of creating proper disclosure content. We’ll review or draft personalized and compliant content for use in:

  • Websites and Blogs
  • Social Media
  • Newsletters
  • Presentations
  • Seminars
  • Brochures
  • Radio and television ads
  • Marketing letters

Form ADV Annual Amendments Service

Keeping up with on-going Form ADV amendments can take up valuable time needed addressing business growth strategies and operations. Our Form ADV amendment filing services free up that needed time so your compliance officer and staff can focus on other pressing matters. We’re experts at handling Form ADV amendments and will get it done professionally using our CPA’s and veteran compliance staff.  Feel free to give us a call at (818) 657-0288 or email us for a quote on Form ADV filing and other regulatory form filings.

 

Not sure where to begin with filing annual SEC Form ADV Amendments, Form PF, Exemptions, and other schedules?  Check our SEC Regulatory Filing Calendar for help.

Back to RIA Services