Advising and Guiding New Registered Investment Advisers in California, New York and Across the Country
A Registered Investment Adviser (RIA) is an individual or entity who holds himself/herself/itself out to the public as a provider of investment advice. As more and more businesses are transferring from a commission to fee-based platform for financial planning and asset management, the need for registered investment advisers continues to grow.
Registration with the SEC or applicable states is required of anyone who, for compensation and as part of a business, gives advice, makes recommendations, issues reports or furnishes analysis on securities either directly or through publications. Based on stringent SEC mandates and requirements, many investment advisers have turned to Shustak Frost & Partners for help in this important area. The law is constantly evolving and our experienced investment adviser lawyers can help you understand the ever changing laws, and legal and regulatory requirements.
Shustak Frost & Partners guides newly registering investment advisers through the entire process including application, registration, and ongoing compliance and support thereafter. Our registered investment adviser lawyers and compliance lawyers offer services that include:
- Assistance in completion of all registration forms, submission of supporting documentation and filing with the SEC and/or appropriate state offices
- Preparing and registering each person required to be an investment adviser representative based on state securities registration requirements
- Developing customized written policies and procedures
- Creation and maintenance of Form ADV Part II (client brochure)
- Producing compliance training programs
- Creation of investment advisory/ management agreements and contracts
- Developing codes of ethics customized to the client firm's business
- Anti-money laundering processes
- Best execution and trade allocations
- Proxy voting processes
- Regulation S-P policies (privacy policy)
- Business continuity and succession plans
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Advertising and marketing reviews
- Compliance program testing
- Mock SEC examinations
- Internal audits
- Due diligence of third-party service providers
- Annual compliance program review reports
Contact Us
Schedule a free initial consultation by calling Shustak Frost & Partners toll free at 888-748-8748, or contact us online. Se habla español / Nagsasalita kami ng Tagalog.
