Your initial investment adviser registration is the foundation of your practice. Whether you seek SEC or state filing status, ComplianceMAX Financial utilizes a diligent, proven approach to get your firm effectively registered and to provide a solid footing for your firm's future.

A Trusted Partner
ComplianceMAX Financial has been the trusted partner to hundreds of new investment adviser entrants in the investment services industry. Nothing matters more in the registration process than an open line of communication, accuracy, professionalism and timeliness. Let the ComplianceMAX professional consulting team apply their expertise in licensing and registration to facilitate your adviser's initial registration. However simple or complex, ComplianceMAX Financial will ensure that the foundation for your future success is solid.

You're Not Alone
To be compliant with SEC and State regulations, your firm must adopt a "culture of compliance," name a Chief Compliance Officer and implement a systematic compliance program. However, you do not have to do it alone. ComplianceMAX Financial has helped firms of all shapes and sizes get on the road to compliance and stay there.

Our clients include hedge funds, broker-dealers and investment advisers ranging from one person firms to national institutions. Once your firm is registered, ask us how we can help your firm implement a systematic compliance program.

ComplianceMAX Financial provides a comprehensive registration service which covers all of the requirements for State and SEC registrations. This service addresses all of the following key elements required for a successful registration and includes:

• Drafting and Filing of Registration Documents to include:
  • ADV Part I
  • ADV Part II and applicable schedules
  • Form U-4 for advisory associates
  • Concurrence filings with associated BD, if applicable
• Completion of IARD entitlement forms
• Completion of jurisdiction-specific documents
• Investment Advisory Agreements, if required by jurisdiction sought
• Consultation regarding post-filing regulatory obligations and requirements
• Guidance regarding IARD account funding, current and future regulatory filing costs
• Special request response to regulators, if required
• Complete Registration File, upon completion, including "Model Office" compliance file folder labels

Affordable
ComplianceMAX Financial knows that you're challenged every day to do more with less. We've positioned our registration program to offer the maximum value available in the marketplace. Starting at $3,000 (additional fees apply for individual state filings and setups), the ComplianceMAX registration program is the smart choice for firms that demand high-quality service at a competitive price.