The Road to Becoming a Registered Investment Advisor

Overview

Establishing Your Own Advisory Firm

As you consider your path to establishing your own advisory firm, Greenwich Advisor Compliance Services will guide you through the registration process and the necessary start-up compliance requirements. Greenwich Advisor Compliance Services assists new and transitioning advisors with state and SEC registrations. We work with clients to develop a sound compliance program and to understand their on-going compliance obligations.

What We Do

Let us Make the Road Clear for You

Greenwich Advisor Compliance Services Corporation (Greenwich Compliance) provides tailored solutions to help advisors trading on the Interactive Brokers platform meet their registration and compliance needs. We offer resources and services to help advisors with issues ranging from registration to day-to-day compliance and can help advisors of all stripes, from established registered advisors to those just starting their own firms. Please visit the Interactive Brokers website for more information on its platform for registered investment advisors.

About Us

Experience Matters

Through our seasoned team of compliance professionals, we combine sound regulatory and compliance experience with a thorough understanding of the specific and unique needs of each of our clients. We care about the quality of our services, the success of our clients and relationships that are forged through those successes.

Clients expect a wholesome knowledge of the regulatory and compliance issues impacting their business. Our combination of industry and regulatory experience allows us to better address the challenging registration and on-going compliance our clients face. Clients can expect to receive tested insight and guidance from a team that understands their needs and is able to offer tailored solutions.

Our team includes alumni from state and federal financial service regulators, globally recognized investment management firms, and SROs.


Schedule a time to speak with one of our experienced professionals.