The First Step to Independence – Becoming Registered
Whether you are transitioning from a wire house or just starting your own firm or hedge fund, you are likely to have questions about the complex SEC and state registration requirements.
Greenwich Compliance offers start-up registration and compliance services for independent advisors and hedge fund managers looking to establish a comprehensive and sound compliance program. Unlike the turnkey services and off-the-shelf materials provided by other services, Greenwich Compliance puts in the time to get to know your firm’s needs to provide you with a tailored approach and help you understand the compliance obligations you will encounter as you look to grow your firm. Greenwich Compliance professionals take an active role in helping firms through the registration process and help advisors draft their initial compliance documents, including assistance with:
- We assist independent advisors and hedge fund managers with obtaining either SEC or state registration as well as exempt reporting adviser status.
- We partner with you to complete Parts 1, 2A and 2B of your Form ADV. This includes working closely with applicable regulators to ensure a thoughtful and timely application process.
- States often require additional documentation to be submitted alongside your ADV, including financial statements, client agreements etc. We work with you to prepare and submit this additional documentation.
- We engage with hedge fund managers to meet their initial and annual regulatory reporting requirements including drafting and filing of Form D.
- To ensure you have everything you need to support your firm moving forward, we work with you to prepare client agreements, compliance manuals, policies and procedures and other infrastructure documentation. These documents are uniquely tailored to your firm’s individual circumstances.
- On-going support is necessary for your firm to flourish. As needed, we assist you with finding third-party partners to assist your firm with its various on-going needs.
Greenwich Compliance professionals are available for a free consultation to answer your questions about the SEC or state registration requirements relevant to independent advisors and hedge fund managers. Click here to get started.