How to Become an Investment Advisor Webinars: SEC Investment Advisor Registration Process

 
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Description: RIA Compliance Consultants summarizes the process for registering with the SEC as an investment advisor which includes establishing and funding an IARD account, filing the Form ADV Part 1A and Schedules A & B via IARD system, uploading the Form ADV Part 2A via IARD system, review by SEC, notice filing with the applicable state securities regulators, filing the Form U4 of the investment adviser representatives (IARs) with the applicable state securities regulators and preparing for an SEC limited scope audit.