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Registration & Licensing
The ITO protects investors by investigating and prosecuting violations of the securities laws; licensing broker-dealers,
agents, investment advisers, and investment adviser representatives; and reviewing registration
statements and exemption filings for securities issuers.
Our hands-on experience and industry expertise can lead your firm through the registration process simply and efficiently.
Registering with the Securities and Exchange Commission (SEC)
Whether you are registering with the SEC or with individual state regulators, our team will work one-on-one with you to understand how you intend to operate your new RIA firm from the day you become registered. We provide you with all the necessary advisory documents to hit the ground running on the day you become registered.
- State registration services for RIA and independent advising firms
- Federal registration services for RIA and independent advising firms
- Hybrid and turnkey investment advisor registration services