SEC Registration.
For Exempt Reporting Advisers (ERAs) and Registered Investment Advisers (RIAs), securing registration with the U.S. Securities and Exchange Commission (SEC) is a crucial step in building credibility, meeting regulatory obligations, and accessing new markets.
Unlike the FCA, the SEC takes a fact-based approach: firms do not receive rounds of follow-up questions. That means success often comes down to getting the information right the first time and presenting it in the way the SEC expects.
ACCURATE, REGULATOR-READY & TAILORED TO YOUR BUSINESS MODEL.
We project manage the entire registration process from start to finish. From determining whether ERA or RIA registration is required, to drafting submissions and liaising directly with the SEC. Our team of SEC experts averages 15 years of experience across regulators, consultancies, and in-house compliance roles. We know exactly how to navigate the nuances of SEC registration, including preparing Form ADV submissions and drafting the narrative brochure that is critical for RIAs.
We don’t just manage paperwork: we provide the compliance manuals, monitoring programmes, and supporting documentation you need to demonstrate how your firm will continue to meet regulatory expectations once authorised.
READINESS
We identify whether ERA or RIA registration is appropriate based on your services and jurisdictions. Our team then maps the requirements, determines the forms needed, and coordinates with service providers such as lawyers and accountants.
REGISTRATION
For ERAs, we prepare Form ADV 1. For RIAs, we complete Form ADV 1, Form ADV 2A, Form ADV 2B and, where relevant, Form CRS. We also draft the RIA brochure covering your business model, compensation, investment strategies, risks, and governance arrangements, ensuring the submission is clear, accurate, and credible.
REINFORCEMENT
Alongside registration, we provide a tailored compliance manual and monitoring programme appropriate to the size, scope, and complexity of your firm. This ensures you are not just registered, but equipped to meet ongoing obligations with confidence.
