Investment Advisor Registration

Comprehensive Investment Advisor Registration

ACI works with Investment Advisors and Hedge Funds with an Investment Advisory component to complete both SEC Investment Advisor Registrations and State Investment Advisor Registrations. To aid clients in the process of Investment Adivosr Registration, ACI first conducts a business consult to gather information and supporting documents required for SEC and State Investment Advisor. Depending on the assets under mangement held by the firm, by SEC definition of assets under management, the firm will be directed to complete the State and/or SEC Investment Advisor Registration.

The Investment Advisor Registration Process

Whether the Investment Advisor Registration is on the SEC or State level the following documents or required:

Form ADV Part I
ADV Part 2, "the brochure"
IARD entitlement, to electronically file the ADV Part I

As part of the Investment Advisor Registration process, ACI will can develop the following documents:

Code of Ethics
Privacy Policy
Schedule F
Policies and Procedures

In addition to the time it takes ACI to complete the ADV Part I and II, develop the appropriate documents, and advise your firm on the best course of action related to Investment Advisor Registration, there is also a waiting period to consider, the time during which the SEC or State(s) applicable to the Investment Advisor Registration review your application. The Investment Advisor Registration process takes approximately 45 days from the time of submission of a completed package for the Investment Advisor Registration application to be processed.

For a consultation regarding investment advisor registration or compliance outsourcing for your investment advisor or hedge fund, contact info@acisecure.com.