Overview



Greenwich Advisor Compliance Services Corp. (Greenwich Compliance) helps advisors trading on the Interactive Brokers platform meet their registration and compliance needs. We offer resources and services to assist advisors with issues ranging from registration to day-to-day compliance and can help advisors of all stripes, from established registered advisers to those just starting their own firm.

Please visit Interactive Brokers’ website for more information on its platform for registered investment advisors.

Registration Services



RIA Registration Services

Even seasoned industry professionals transitioning from a financial advisory firm, big bank, or a wire house may have questions about complex SEC and state registration requirements.

Greenwich Compliance offers expert RIA registration and start-up compliance services for advisors looking to register their firms and set up a compliance program. We can help guide you through the registration process and avoid pitfalls that may delay your registration.

Services We Offer
  • We will consult with you on your business and its needs, then review the federal and state registration requirements relevant to you.
  • We will prepare a draft of your Form ADV – the key registration filing for U.S. investment advisors – based on the information you provided. We will also help you prepare any other documents you need to file with your Form ADV.
  • We will file the registration package with the SEC or the appropriate State authorities after finalizing it with you.
  • We will monitor the registration application, and assist with responding to regulators' comments and questions during the process. (Please keep in mind that the regulatory may take three to six months to approve your application and certain matters, such as past disciplinary actions, may cause the process to take longer.)
  • We will work with you to prepare customized written compliance policies and procedures required by the SEC or your state regulator. We will also provide other documents you'll need to start up a compliant form, including Investment Advisory Agreements, privacy policies, and business continuity plans.

Click here to get started.

Resources



Spotlight Series

Here is a series of Spotlights covering major compliance topics affecting investment advisors.

Guide to Forming Your Advisory Firm

You may wonder what it takes to start your own investment advisory firm. This Transition Guide highlights the major legal and regulatory considerations, issues and factors to consider in deciding whether to transition to your own investment advisory practice.


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Spotlight on Registration Requirements and Filings for Investment Advisors and Their Employees

The first compliance hurdle facing an advisor is making sure the firm and certain employees are registered with the SEC and/or the states in which you do business. This Spotlight summarizes the major registration rules affecting investment advisors.


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Spotlight on Advisory and Fee Agreements

Drafting an advisory agreement and determining how you will be compensated by clients is a key step when setting up an advisory firm. This Spotlight summarizes the main considerations advisors must keep in mind when designing these agreements.


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Spotlight on Regulation of Advisor Advertising and Marketing

Advisors are generally free to advertise their services but states and the SEC impose limits on the types of advertisements they can use. This Spotlight summarizes those limits, including the rules governing advertisements containing performance information and use of social media.


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Spotlight on The Custody Rule for Registered Investment Advisors

This Spotlight outlines the difficult and oft-misunderstood topic of advisors' "Custody" of client assets. It discusses the types of situations and arrangements that could lead a regulator to decide an advisor has "Custody" of its client's assets even if the assets are held at a qualified custodian like IB and the special responsibilities and requirements that come with having "Custody."


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Spotlight on The SEC Custody Rule FAQ

This spotlight discusses the SEC's new guidance on inadvertent custody and answers common questions regarding the SEC's Custody Rule.


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Spotlight on Advisors' Recordkeeping Obligations

Registered investment advisors must create and maintain true, accurate, and current books and records related to the key parts of their business. This Spotlight discusses the types of records that advisors must maintain, the ways they must be kept and for how long.


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Spotlight on The Compliance Systems and Documentation Advisors Must Maintain

Advisors must maintain written compliance policies and procedures reasonably designed to prevent, detect, and correct violations of applicable law and a Code of Ethics. We summarize those requirements in this Spotlight.


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Spotlight on Insurance and Bonding Considerations for Registered Investment Advisors

Advisors must decide whether to buy Errors & Omissions or other insurance and make sure they post the required bonds. This Spotlight outlines the factors advisors should consider when deciding what insurance to purchase and the federal and state rules regarding the bonds and net worth requirements governing advisors.


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Spotlight on State Registration Requirements for "Small" Investment Advisors

So-called "Small" advisors face different, often more complicated registration considerations than larger advisors who are subject to SEC registration rules. This Spotlight summarizes the maze of state registration requirements facing investment advisors with less than $25 million AUM and/or a limited number of clients.


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Spotlight on Registration and Compliance Requirements for Foreign Investment Advisors with U.S. Clients

Foreign advisors often wonder whether they must register with the SEC and/or U.S. states. This Spotlight summarizes the main exemptions from U.S. registration available to foreign advisors.


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IMPORTANT NOTE:

These Spotlights are provided for educational and information purposes only. The information in these Spotlights should not be construed as legal advice and has not been tailored to address the particular circumstances of you or any other advisor. Investment advisors should independently research the applicable registration and compliance requirements and consult legal counsel as needed.



Schedule a Consultation


Get Started with a Free Registration Consultation

Greenwich Compliance offers free initial registration consultations to Interactive Brokers customers with questions about when and where to register as an investment adviser. To get started, please provide us with some basic background information below and a member of the Greenwich Compliance team will contact you to answer any questions you may have. All information will be kept confidential.

Name *
Firm Name *
Legal Address *
Country *
Email Address *
Phone Number *
Do you currently have an account with Interactive Brokers?
Do you currently invest on behalf of anyone other than yourself? (i.e., Do you have any clients?) *
What are your current assets under management? *
Main U.S. State from which you will operate? *
Will you be dually registered as an investment adviser and broker-dealer (hybrid)? *
Where did you hear about our services?
* Required Field