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

 
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Description: RIA Compliance Consultants provides an overview of the process for registering with a state securities regulator as an investment advisor which includes establishing and funding an IARD account, filing Form ADV Part 1A and Part 1B via IARD system, uploading Form ADV Part 2A and Part 2B via IARD system, providing financial statements, sample client agreement and miscellaneous state forms, filing Form U4 of investment adviser representatives (IARs) and answering questions and modifying documents in response to the state securities regulator’s review. RIA Compliance Consultants discusses the general state requirements for when an investment advisor should register or notice file with a state securities regulator.