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REGISTRATION OF A NEW REGISTERED INVESTMENT ADVISOR:

 

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

MYTH BUSTER: There are many firm's that charge substantial amounts of monies to register you as an Investment Advisor, and use many sophisticated terms to justify those large fees and costs for their services. The truth is, the Registration of an Investment Advisor is only hard ONE TIME, and that is the first time. The Management of STEVE MUEHLER - SECURITIES has been through the process multiple times, and it is a simplified process for them, and that is why there is a "flat fee" for the entire process.

There is no circumstance on Earth where your all in costs for the registration of an Investment Advisor (not including any Filing Fees) exceeds $2,000 USD. If they do, you paid for a product and/or a service that was greatly overcharged. 

 

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STEVE MUEHLER - SECURITIES
1055 West 7th Street
Los Angeles, California 90017
Phone: (310) 463-5122
Email: Steve@SteveMuehler.com