Investment Adviser Registration Service

National Compliance Services, Inc. (NCS) can assist you with all of your state and federal registration needs. If you consider the value of your time, as well as the added value that our professionals bring to the table, we are sure you will agree that the cost of having NCS process your registration is money well spent.

NCS will walk you through the entire registration process. We have all the necessary forms, as well as the expertise required to explain the many complex issues that pertain to investment adviser registration. We are familiar with the SEC and state filing requirements. In addition, we have personal contacts at many regulatory offices across the country. This personal touch can often speed up the process considerably.

NCS will handle or provide the following:

• Preparation of the Form ADV and other required registration forms
• Registration of the firm with the SEC (if applicable) and/or home state
• Registration of up to three principals and officers with the home state
• Your completed Form ADV on disk and in hard copy
• Sample Investment Advisory Contracts on disk*
• Model Supervisory Policies and Procedures manual
• Model Code of Ethics
• Model Insider Trading Policy
• Monthly news flyer
• The registration process usually takes 45-60 days

The cost of registration packages vary according to complexity, state vs. SEC, filing fees, disciplinary history and/or broker-dealer affiliations. Additional state registrations are billed separately. Advisers may be required to pass a licensing exam. Exam requirements differ from state to state

If you would like additional information, please call Chad Jones at 561-330-7645 ext 210 or via e-mail at chad@ncsonline.com or complete the online Request For Proposal form.

*NCS does not practice Law. Sample contracts should be reviewed by counsel. Not available to residents of Texas.

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