Registration Services (Form ADV)
In addition to financial compliance services WB will assist clients looking to become registered as a registered investment adviser with the SEC. We will perform the following tasks:
· Assist in setting up your FINRA IARD account by preparing IARD entitlement forms.
· Assist in preparing your Form ADV
· Work with the SEC during the registration process
Material Change Registration (Form ADV) Updated
· Monitor business changes to determining if a material updated needs to be filed.
· Assist in preparing and filing any material update.
Ongoing Annual Registration (Form ADV) Support
· Perform your firm’s annual registration update.
· Assist filing the Form ADV annual amendment.