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

NRS / ComplianceMAX, a Trusted Partner 

  

NRS / ComplianceMAX  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 NRS / ComplianceMAX professional consulting team apply their expertise in licensing and registration to facilitate your adviser's initial registration. However simple or complex, NRS / ComplianceMAX Financial will ensure that the foundation for your future success is solid.

You are 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.

NRS / 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

To learn more about the services offered by NRS / ComlianceMAX, click here.