Investment adviser registration
SEC and state investment adviser registration, Form ADV preparation, and the written compliance program and code of ethics that survive a first examination.
Greenridge L&C Advisors registers investment advisers with the SEC or the states: Form ADV Parts 1 and 2, the written compliance program, the code of ethics, and the policies an examiner will test. Our principal was senior counsel in the SEC's Office of Compliance Inspections and Examinations.
What registration involves
Registration is the beginning of an examination relationship, not the end of a form.
- Form ADV Part 1, Part 2A brochure, and Part 2B
- Written compliance program and code of ethics
- Books-and-records and custody policy design
- State notice filings and the ongoing cadence
Built to survive the first exam
We build the program the way an examiner reads it, because our principal spent years on that side. Registration that is not exam-ready is a deficiency waiting to be written.
Common questions
SEC or state registration, which applies to me?
Do you keep the compliance program current after registration?
Bring us the letter.
Exam notice, deficiency letter, comment letter, or an application that has stalled. Tell us where you are and we will tell you what happens next. A first conversation is free and without obligation.
Bring us the letter →