Adviser In A Box™
Build Your Adviser Business with Ease, from Start to Finish
Are you ready to establish your Investment Adviser business but are overwhelmed by the complex regulatory requirements and procedural intricacies? Adviser in a Box™ services are designed to build your Investment Adviser firm from the ground up within just 90 days.
Adviser in a Box™ is a comprehensive, end-to-end solution that simplifies creating an Investment Adviser business. Our team of experts handles everything from initial setup to regulatory approvals, ensuring your Investment Adviser firm is fully operational and compliant with all industry standards in just three months.
Ready to take the first step toward building your Investment Adviser firm? Contact us today and see how we can help you achieve your business goals quickly and efficiently.
Enjoy flat fee pricing!
No hourly fees.
No legal fees!
Pay fee over 3 months, then the investment adviser is yours!
Excludes SEC or State registration fees that range from $150 - $600 for registration.
What's Included?
Please see "Additional Info" for full details
Cost
One time flat fee paid over three (3) months. No hourly fees!
No legal fees!
Expert compliance staff:
Fractional investment adviser registration experts with at least 15 years of experience
Seasoned Series 24 principal who manages the process from start to finish.
Please refer to:
Build Your Adviser Business with Ease, from Start to Finish
Are you ready to establish your Investment Adviser business but are overwhelmed by the complex regulatory requirements and procedural intricacies? Adviser in a Box™ services are designed to build your Investment Adviser firm from the ground up within just 90 days.
Adviser in a Box™ is a comprehensive, end-to-end solution that simplifies creating an Investment Adviser business. Our team of experts handles everything from initial setup to regulatory approvals, ensuring your Investment Adviser firm is fully operational and compliant with all industry standards in just three months.
Ready to take the first step toward building your Investment Adviser firm? Contact us today and see how we can help you achieve your business goals quickly and efficiently.
Enjoy flat fee pricing!
No hourly fees.
No legal fees!
Pay fee over 3 months, then the investment adviser is yours!
Excludes SEC or State registration fees that range from $150 - $600 for registration.
What's Included?
Please see "Additional Info" for full details
Cost
One time flat fee paid over three (3) months. No hourly fees!
No legal fees!
Expert compliance staff:
Fractional investment adviser registration experts with at least 15 years of experience
Seasoned Series 24 principal who manages the process from start to finish.
Please refer to:
Build Your Adviser Business with Ease, from Start to Finish
Are you ready to establish your Investment Adviser business but are overwhelmed by the complex regulatory requirements and procedural intricacies? Adviser in a Box™ services are designed to build your Investment Adviser firm from the ground up within just 90 days.
Adviser in a Box™ is a comprehensive, end-to-end solution that simplifies creating an Investment Adviser business. Our team of experts handles everything from initial setup to regulatory approvals, ensuring your Investment Adviser firm is fully operational and compliant with all industry standards in just three months.
Ready to take the first step toward building your Investment Adviser firm? Contact us today and see how we can help you achieve your business goals quickly and efficiently.
Enjoy flat fee pricing!
No hourly fees.
No legal fees!
Pay fee over 3 months, then the investment adviser is yours!
Excludes SEC or State registration fees that range from $150 - $600 for registration.
What's Included?
Please see "Additional Info" for full details
Cost
One time flat fee paid over three (3) months. No hourly fees!
No legal fees!
Expert compliance staff:
Fractional investment adviser registration experts with at least 15 years of experience
Seasoned Series 24 principal who manages the process from start to finish.
Please refer to:
Package excludes SEC and State registration fees that range between $150 - $600. This third party fee is paid directly to the SEC or State of registration.
Corporate Services
Assist with Broker-Dealer LLC Name
Assign a Registered Agent
File Articles of Organization
Create an LLC Operating Agreement
Obtain an EIN (Employer Identification Number)
Register for State Taxes (If Applicable)
Open a Business Bank Account
Apply for Business Licenses and Permits
Set Up Accounting and Record-Keeping Systems
Registrations
Selecting a clearing firm and documentation review (if applicable)
Draft client agreements that outline the services provided, fees, and terms of the advisory relationship.
Guidance on third-party investment adviser platforms for building your client base and ensuring compliance oversight.
Compliance
Create comprehensive compliance policies and procedures tailored to your firm’s operations. This includes a code of ethics, supervisory procedures, and other regulatory requirements.
Develop a compliance manual that outlines your firm’s policies and procedures for meeting regulatory requirements.
Designate a qualified individual as the Chief Compliance Officer responsible for overseeing and implementing the firm’s compliance program.
Developing an Anti-Money Laundering Compliance Program (AMLCP)
Documenting and training on a Customer Identification Program (CIP)
Compliance Manual Creation/Customization/Review (Policies and Procedures)
Investment Advisory Agreements Creation and Review
Coder of Ethics
Solicitor Arrangements Creation and Review
Privacy Policy Creation and Review
Compliance Program Design: We design and implement a robust compliance program tailored to your business model, covering all aspects of regulatory compliance.
Chief Compliance Officer (CCO) Services: Access fractional CCO services to oversee your compliance framework and ensure ongoing FINRA and SEC regulations adherence.
Free 60-minute Consultation: Determine the correct regulatory path for your firm.
Personalized Strategy: We start with a detailed consultation to understand your business goals and develop a tailored strategy for your Broker-Dealer or Investment Adviser.
Regulatory Roadmap: Our experts clearly outline all regulatory requirements and milestones.
Staff Training: Comprehensive training programs for your team to ensure they are fully prepared to operate within the regulatory framework.
Ongoing Support: Continuous support and guidance throughout the initial setup phase and beyond, ensuring smooth operation and regulatory compliance.
Draft and File Form ADV:
Part 1: Provide detailed information about your firm’s operations, ownership, clients, employees, business practices, affiliations, and disciplinary events.
Part 2: This section includes the narrative brochure (Part 2A) outlining your advisory services, fees, disciplinary information, conflicts of interest, and a brochure supplement (Part 2B) on key personnel.
Submit Form ADV using the IARD (Investment Adviser Registration System)
Facilitate payment for registration of the firm. The fees vary depending on registration with the SEC or state regulators.
Technology
Systems and Processes: We set up the essential operational systems and processes, including regulatory platforms, customer account management, and record-keeping systems.
Cybersecurity and IT: Implement top-tier cybersecurity measures and IT infrastructure to protect your business and client data.
Let us connect you with cutting-edge Investment Adviser platforms that leverage AI to reduce your workload and enable you to grow your business quickly.