Site Map

• Checkout
• Homepage
• Investment Adviser Compliance Conference
• What’s New – August 2018
• Home
• About Us
  • Colin Hill
  • Kaylee Engel
  • Tyler Bolden
  • Vivian Parr
  • Bryan Hill
  • Jarrod James
  • Tammy Emsick
  • Tom Zielinski
  • Teresa O’Grady
  • Amanda Erwin
  • Grant Parr
  • Melanie Howard
• Our Services
  • 2019 Investment Adviser Compliance Conference
  • Investment Adviser Conference
    • 2018 Investment Adviser Compliance Conference Registration
  • Written Supervisory Procedures
  • 2019 Form ADV Annual Amendment
  • Turn-Key Investment Advisor Registration Service
  • Annual Compliance Program Subscription Packages for Your Registered Investment Advisor
  • Services for an Investment Adviser Subject to SEC’s Switch Rule
  • Schedule Introductory Call & Request a Proposal for Our Investment Advisor Registration Service
  • Schedule Introductory Call & Request a Proposal for Our Investment Advisor Compliance Services
  • Code of Ethics & Written Supervisory Procedures Drafting Services
• Compliance Tools
  • RIA Express
    • How to use RIA Express
    • RIA Express – Compliance Review
  • Upcoming Webinars
    • Complimentary Webinar: How to Become a Registered Investment Advisor
  • Recorded Webinars
    • Approving Marketing Materials
    • Complimentary Webinar: How to Become a Registered Investment Advisor
    • Complimentary Webinar: Investment Adviser Books and Records Requirements
    • Complimentary Webinar: Understanding and Preparing for the ‘Switch’ for Mid-Sized Advisors
    • Complimentary Webinar: Understanding the New ADV Part 2
    • Investment Adviser Advertising
  • Sample Forms
  • Online Store
• Blog
• Frequently Asked Questions
  • Investment Advisor Registration
    • How to Become an Investment Advisor Webinars: Common Mistakes When Registering as an RIA
    • How to Become an Investment Advisor Webinars: Definition of Investment Adviser Representative (“IAR”)
    • How to Become an Investment Advisor Webinars: Definition of Investment Advisor and Registration Exemptions
    • How to Become an Investment Advisor Webinars: Form ADV Balance Sheet & Appendix I
    • How to Become an Investment Advisor Webinars: Form ADV Drafting Tips
    • How to Become an Investment Advisor Webinars: Form ADV Part 1A
    • How to Become an Investment Advisor Webinars: Form ADV Part 2A
    • How to Become an Investment Advisor Webinars: Form ADV Schedules A, B & D and Form ADV Part 1B
    • How to Become an Investment Advisor Webinars: Investment Adviser Representative (“IAR”) Qualifications
    • How to Become an Investment Advisor Webinars: Net Worth Requirements to Register as an RIA
    • How to Become an Investment Advisor Webinars: Register Entity as Investment Advisor
    • How to Become an Investment Advisor Webinars: RIA Registration Challenges Facing Lay Person
    • How to Become an Investment Advisor Webinars: SEC Investment Advisor Registration Process
    • How to Become an Investment Advisor Webinars: SEC v. State Investment Advisor Registration – AUM
    • How to Become an Investment Advisor Webinars: SEC v. State RIA Registration – Exemptions to AUM
    • How to Become an Investment Advisor Webinars: State IAR Licensing Requirements
    • How to Become an Investment Advisor Webinars: State Investment Advisor Registration Process
  • How Much Will It Cost to Register an Investment Advisor?
  • Series 65 Examination
  • Form U4
  • Concerning Private Fund Advisers Registering as Investment Advisers with the SEC
  • Form PF
  • Switch of Mid-Sized Investment Advisors from the SEC to State Securities Regulators
  • Solicitor Referral Arrangements
  • Written Supervisory & Compliance Policies & Procedures
  • Code of Ethics
  • Wrap-Fee Programs and ADV Part 2A Appendix 1 Wrap Fee Disclosure Brochures
  • Form 13F, Form SH, Schedule 13D & Schedule 13G
• Registration Costs
  • California Investment Advisor Firm & Investment Adviser Representative State Registration Requirements
  • Colorado Investment Advisor Firm & Investment Adviser Representative State Registration Requirements
  • Florida Investment Advisor Firm & Investment Adviser Representative State Registration Requirements
  • Georgia Investment Advisor Firm & Investment Adviser Representative State Registration Requirements
  • Illinois Investment Advisor Firm & Investment Adviser Representative State Registration Requirements
  • Michigan Investment Advisor Firm & Investment Adviser Representative State Registration Requirements
  • New Jersey Investment Advisor Firm & Investment Adviser Representative State Registration Requirements
  • New York Investment Advisor Firm & Investment Adviser Representative State Registration Requirements
  • Pennsylvania Investment Advisor Firm & Investment Adviser Representative State Registration Requirements
• Compliance Tips
  • Basic Training for a CCO of an Investment Adviser
  • Creating an Effective Investment Advisory Agreement
  • Registering as a State Investment Advisor
  • Form ADV Background Information
  • Form ADV Drafting Tips
  • Preparing for an On-Site SEC Audit
• Published Articles
• Contact Us
• Online Invoice Payments
• Schedule Introductory Call
• Newsletter Signup
• Speaker Request
• Investment Advisor Resources
  • Form ADV Part 3 – Form CRS Relationship Summary
• Website Disclosures & Privacy Policy
• Easy-to-read Instructions
• Link to RIA Compliance Consultants, Inc.
  • Web Directory