Thornton & Associates, LLC’s consulting staff can guide you through the registration and approval process to get your Registered Investment Advisor approved by your state.
Our State RIA registration services include:
Prepare the FINRA Entitlement applications for the IARD/Web CRD accounts, which are required to file an application to register as an investment advisor and investment advisor representative.
Prepare and submit the Form ADV Part IA, Part IB, Part II, Schedule A, Schedule B, Schedule C, Schedule D and Schedule F that is customized to your firm’s unique business model.
Prepare and submit the Form U4 (via Web CRD system) to register each IAR applicant of the firm. Verify Form U4 disclosures are consistent with Form ADV disclosures. Advise your firm as to the states that IAR will need to register at the time the firm is initially registered.
Written Supervisory Procedures
Prepare and provide your firm with a comprehensive and customized written supervisory procedure manual addressing all areas of your firm’s business. Unlike most consulting firms, you will be provided with a copy of your WSP in an editable Word version so that your firm may make any necessary changes as your firm grows.
Code of Ethics
All of our RIA clients will receive a comprehensive Code of Ethics in a Word format.
Advise your firm as to those states which would require notice filing (at the time that firm submits its initial federal filing). Prepare the applications for state notice filings via the IARD system.