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.
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!
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.
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.
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.
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!
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.
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.
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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IMPORTANT CONSUMER INFORMATION
The Reed Financial Group, Inc. is an independent Registered Investment Advisor. AmericasRetirementPlan.com is owned and operated by the Reed Financial Group for online Investment Advisory only. The Strategic Wealth Initiative is owned and operated by the Reed Financial Group to provide education, administrative and investment options to clients and independent advisors. Separate Account Management is offered by independent Registered Investment Advisors which may or may not be affiliated with the Reed Financial Group, Inc.
An investment adviser may only transact business in a state if first registered or is excluded or exempt from state investment adviser registration requirements, as appropriate. Follow-up, individualized responses to persons in a state by such a firm or individual that involve either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made without first complying with appropriate registration requirements, or an applicable exemption or exclusion. For information concerning the licensing status or disciplinary history of a investment adviser a consumer should contact his or her state securities administrator.
Before investing, consider investment objectives, risks, charges, and expenses. Keep in mind that investing involves risk. The value of your investment will fluctuate over time and you may gain or lose money. The bond market may be volatile, and fixed income securities carry risks which may be dissimilar to equities.
Annuities may be subject to a surrender period. The interest credited may differ based on the annuity you become involved with. Annuities may be subject to early withdraw market value adjustments which could lower the realized rate of return. EQUITY INDEXED ANNUITIES: Your rate of return is tied to an index and may not be guaranteed by the insurer. As with fixed annuities, Equity Indexed annuities may be subject to early withdraw market value adjustments which could lower the realized rate of return.
The WealthSentry Asset Management Method is not a stop loss or Algorithm based trading platform. It is a method which uses technical analysis of markets to determine market direction and the ensuing appropriate asset allocation. It must be implemented by the investment management of the Reed Financial Group. It does not guarantee against loss or growth of assets and uses proprietary research to determine the optimum asset allocation based on market trend.
INVESTMENT PRODUCTS: NOT FDIC INSURED · NO BANK GUARANTEE · MAY LOSE VALUE
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