COMPLIANCE

Turn the mundane but highly important practice area over to us and make it easy. Free up your time to work with clients, build your business and live well.

New Firm Registration

Successfully navigating the registration process requires time, significant industry knowledge and great attention to detail — all of which we can provide. Working as your back office, we take into account everything that is tied with registration to keep you in line and facilitate a seamless transition into becoming an independent RIA.

Regulatory Filings

When you take on the responsibility of being a registered investment advisor, your firm has a duty to maintain everything in a timely fashion. Otherwise, you might find yourself in trouble with regulators. Often, RIAs are ill-equipped to handle the constant updates and modifications to their registration documents — but we can help!

ADV & Amendments

The annual renewal process includes updating and amending numerous firm documents. Having all the proper documentation prepared is only half of the renewal process. You’ll still need all of those items dispatched to the proper offices and authorities on a timely basis. We can make the renewal process go smoothly so that you may continue doing what you do best, accommodating the needs of your clients.

Annual Compliance

During the preparation for the renewal process, various issues may arise such as changes in your fee schedule, services of your firm, or address changes. Also, we will notify you of any other applicable filing you may have to submit, such as your SEC 13F Filing. As your back-office support team, we can assist you in resolving those matters and submitting the appropriate filings.

Procedures

Rule 204-2 of the Investment Advisers Act, usually referred to as the “Books and Records Rule” gives an extensive list of the books and records to be maintained. To properly maintain your firm’s records, you need a dedicated team with the experience to help you manage and handle large number of records spanning several years.

Certification & Testing

When an individual wants to register and serve as an investment advisor representative (IAR) of an RIA, one of the requirements is to have the Series 65 Exam. We are able to assist you with the steps in taking the Series 65: opening your test window and then scheduling your exam. Once passed, you are eligible to register as an IAR!

Cyber Security

With a combination of entrepreneurship, experience, and professional/academic certifications our partners deliver comprehensive interpretation, sound and appropriate guidance, and the provision of a suitable solution to implement the required elements to meet regulator expectations and protect valuable data and information.

Business Continuity

As an independent RIA or IAR, one of the key challenges you face is the concern facing business continuity or what happens if some thing happens to you. As a member of SWI you have built in continuity and a ready stream of other advisors ready to help share this task so you, your family and clients are fully taken care of.

Ongoing Consultation

As an RIA, all advertisements must be truthful and accurate, and any advertising that is misleading, fraudulent, or deceptive is prohibited. So before you send out your materials, let us review and provide commentary according to advertising rules and applicable state regulations. We can help with a wide range of concerns.

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