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Investment Advisor Registration at either the State or Federal level is necessary for most professional money managers that advise outside capital as to the value or advisability of specific securities transactions. STEVE MUEHLER - SECURITIES endeavor to make the Investment Advisor Registration process simple, efficient, and cost-effective for our clients. We borrow on our wealth of experience handling Investment Advisor Registration matters to deliver on this promise.

Investment Managers that advise separately managed accounts will inevitably encounter State or Federal Rules that necessitate Investment Advisor Registration with either a State Securities Authority or the Securities and Exchange Commission. For these Advisors, STEVE MUEHLER - SECURITIES provide comprehensive Registration and Compliance Services. STEVE MUEHLER - SECURITIES also drafts Investment Management Agreements for both Discretionary and non-Discretionary Managed Account Programs, advise as to permissible marketing methods under state “Blue Sky” Laws and the Investment Advisors Act of 1940, and handle other regulatory matters that may arise.

Investment Managers that advise only Private Investment Funds, including Hedge Funds, or otherwise only advise a small number of client accounts may be able to operate within an exemption from Investment Advisor Registration depending on their business structure and place of business. Available exemptions vary highly from one state to the next and most Advisors will have to register.

STEVE MUEHLER - SECURITIES offers varying levels of support depending on an individual client’s needs. STEVE MUEHLER - SECURITIES can augment our basic, cost-effective Investment Advisor Registration services with a comprehensive engagement to develop a complete compliance infrastructure. 

Our Investment Advisor Registration services typically include:

  • Preparation of the Client for any Required Registration Exams as may be required

  • Preparation and submission of entitlement forms with FINRA

  • Preparation and filing of Part 1 of Form ADV

  • Preparation and filing of Part 2 of Form ADV, known as a “brochure”

  • Detailed review of existing procedures and operational policies

  • Creation of compliance manual and code of ethics

  • Creation of tailored compliance calendar outlining compliance / regulatory tasks on a monthly basis

  • Employee compliance training sessions for investment adviser representatives

  • Ongoing support throughout the registration process


Rates will be based on an Hourly Rate of $45.00 per hour plus expenses incurred including, but not limited to, postage and purchase of any special software necessary to complete task. Time to complete the job will be estimated and any projects estimated over $200.00 will require a TBD down payment. Steve Muehler Bills for Services Rendered each week. Steve Muehler requires a signed contract, which outlines the project details, prior to beginning any work.