RIA Registration & Compliance

Compliance Solutions Group provides compliance products and services that are customized to meet the specific needs of an Investment Adviser. Whether the Investment Adviser needs to be registered or is already registered with the SEC or with a State, CSG has the expertise and experience to design compliance solutions that are designed to not only enhance your business, but promote efficiency while allowing your firm to focus on its business activities and bottom line.

CSG can handle as little or as much as you need.  Services offered by CSG include (but are not limited to):

  • Written Supervisory Procedures Manual (Draft, implement and maintain/update manual).
  • Notice Filings.
  • Review and/or Completion of Form ADV Part 1.
  • Review and/or Completion of Form ADV Part 2 in “Plain English”.
  • Web IARD/CRD Services.
  • Mock Compliance Examination – Gap Analysis.
  • Form ADV Annual Review and Updating (Amendment Filings).
  • SEC or State Registration Application.