SEC Registration Timeline and Considerations

If you are, or looking to establish an investment adviser in the U.S., you will need to complete Form ADV to register with your local state or the Securities and Exchange Commission (SEC).

But how do you know which regulators you need to register with? And what does the process look like?

This guide will explain the registration process in the U.S., including:

• Who must register with the SEC
• What investment advisers are exempt from registration
• What the SEC registration process looks like

Download now to understand the U.S. registration process for investment advisers.

Download

How we help

If you are ready to launch a new firm, contact us today to get started.

With former SEC and state regulators as well as former CCOs on our team, we have a deep understanding of registration with the SEC. We can assist with the initial Form ADV preparation and filing, annual Form ADV amendments, and the set-up and maintenance of an adequate and effective compliance program.

Once launched, we can further support you with our broad range of advisory, managed services, and regulatory technology solutions, to help you grow and protect your business, while also addressing your compliance, ESG, investment performance, and cybersecurity challenges.