Have a plan in place from the start.
Red Oak can address your investment adviser registration needs and concerns. We will work directly with your investment adviser firm’s managing principal or chief compliance officer to identify registration challenges, and we will then build and implement solutions to meet your regulatory responsibilities. We can relieve you of the burden of having to find competent licensing and registration personnel by performing all of your licensing and registration functions for you, or you can purchase à la carte services from the list below as the need arises.
Our Registration Services for New and Existing RIAs Include the Following:
- New RIA Registration
- Register all Investment Advisory Representatives through IARD Notice Filings
- State Filings Termination Filings
- Disclosure of Regulatory or Civil Actions Schedule 13G, 13D, 13F Filings Solicitor Registration
- Form ADV Part I and II review and revisions
- Initial, Quarterly, and Annual Amendments ADV Filings Update Amendments
- Annual Renewals
- U-10 Filing for Exams Form PF
- Branch Office Filings