SEC, ERA & State Registration Services

Whether you are an investment adviser registering with the SEC, registering with a particular state, or filing as an exempt reporting adviser, Coast to Coast Compliance coordinates the necessary regulatory requirements.

Which registration path applies to your firm

Registration is driven largely by regulatory assets under management and by the type of clients you advise. Advisers over the SEC threshold register federally, smaller advisers register with the states in which they operate, and private fund and venture capital managers may instead qualify to file as exempt reporting advisers. Getting this determination right before you file saves months of rework, so we confirm the path first.

What the registration process includes

Coast to Coast Compliance streamlines the registration process and provides the customized policies and procedures needed for an effective compliance program. This often includes the following key service offerings:

• Form ADV Part 1, 2A, and 3 filings
• Form ADV Part 2B development
• A customized compliance manual, with the policies and procedures required by Rule 206(4)-7 of the Advisers Act
• A customized code of ethics, as required by Rule 204A-1 of the Advisers Act
• A CCO checklist and compliance calendar
• Initial compliance training

Policies covered in the compliance manual

• SEC registration and regulatory disclosures
• Advertising and marketing material
• Suitability and solicitation of investors
• Portfolio management processes
• Books and records requirements
• Conflicts of interest and rules of conduct
• Privacy regulations and privacy notice
• Business continuity plan and disaster recovery policy
• Cybersecurity and information security policy
• Annual compliance review

After you are registered

Registration is the starting line, not the finish. Once effective, your firm owes an annual updating amendment to Form ADV, an annual compliance program review under Rule 206(4)-7, and ongoing maintenance of the manual as your business changes. Many newly registered advisers also schedule a mock SEC examination within their first few years, since a firm can be examined at any time once registered.

Coast to Coast Compliance can help your firm get registered and provide the framework for maintaining a strong compliance program and a strong culture of compliance. To talk through your situation, contact us.