From the people who ran the examinations.
Writing and media from Greenridge L&C Advisors on licensing, examinations, and compliance in regulated markets.
How to Register as an Investment Adviser
State or SEC, ADV Parts 1 and 2, and the questions to settle before you file.
Written Supervisory Procedures That Hold Up
The problem is rarely that a firm has no WSPs. It is that the WSPs describe a firm that does not exist.
Preparing for Your First SEC Exam
The examiner is not trying to trap you. They are trying to close a set of questions. Help them.
AML for Small Firms
A small firm does not get a smaller obligation. It gets less room to fake one.
When the Deficiency Letter Arrives
The response becomes part of your record. Guidance from people who ran the examinations.
Building Where Regulation Stops Everyone Else
The firm-wide thesis: the hard part of building in regulated markets has moved from technology to regulation.
Podcasts, interviews, talks, and press features will land here. The first conversations are being lined up now.