Schedule Introductory Call & Request a Proposal for Our Investment Advisor Registration Service

In order to prepare a quote and formal proposal to register your firm as an investment advisor, you may call us at 877-345-4034 to discuss your new firm and our registration service.

Alternatively, you can make an online request for a proposal by providing us with your contact information and answering the following questions about the anticipated activities of your firm. Once you’ve electronically submitted your answers below, you should see a link to our online calendar system. Please click on this calendar link so that you can schedule an introductory call about our registration service. An introductory telephone call is typically needed before we can prepare a quote and formal proposal to register your firm as an investment advisor. Thank you.

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Contact Information:

Title
First Name *
Last Name *
Firm Name
Street Address *
City *
State *
Zip Code *
Country
Phone *
Ext.
Email *
How did you learn of our services?

Anticipated Activities of Firm:

What is your expected or anticipated approval date for your investment advisor firm?
What is your anticipated amount of assets under management by your firm within 120 days after registration as an investment adviser?
What state will be the main location of your firm’s offices?
Will your firm or any of its investment advisor representatives have an office or more than five clients (within 120 days of registration) in a state other than the firm's home state?
(If yes, please list.)
How many investment adviser representatives (including yourself) will be affiliated with your firm?
Does your firm or any of its anticipated investment adviser representatives have a disciplinary history such as a censure, suspension, disbarment or fine, with a regulator?
(If yes, please explain.)
Are you, your firm or any of its anticipated investment adviser representatives currently subject to an inquiry, investigation or enforcement proceeding by a regulatory authority?
(If yes, please explain.)
Are you, your firm or any of its anticipated investment adviser representatives subject to a pending customer complaint, arbitration or lawsuit?
(If yes, please explain.)
Will your firm also be registered as a broker-dealer?
Will your firm serve as a commodities pool operator or commodities trading advisor?
Will your firm advise or operate a hedge fund?
Will your firm advise a registered investment company?
Will you, your firm, or an affiliated firm serve as general partner of a limited partnership or managing member of a limited liability company offered to clients?
(If yes, please explain.)
Will your firm pool client investments?
Describe the outside business activities of you, your firm and/or its investment adviser representatives.
Will your firm charge a performance fee (other than an asset under management) based on the profits of the account?
Will any of the investment adviser representatives of your firm also be affiliated with a broker-dealer as a registered representative?
Will your firm use third-party solicitors?
Will your firm or its investment adviser representatives serve as a solicitor for a third-party money manager?
Will your firm conduct financial planning?
(If yes, please describe and specify the approximate range for financial planning fees.)
Will your firm sponsor a wrap fee program?
(In basic terms, a wrap fee program is a program under which a client is charged a specified fee not based directly on transactions in a client account for investment advisory services and execution of client transactions. Typically, fees such as custodial fees, transaction charges, and commissions are not billed separately, but included in the overall management fee charged to the client. Programs where an advisor charges an asset management fee, but the custodian’s fees are billed separately are not generally considered wrap fee programs.)
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