Our “turn-key” investment adviser registration program for the State of Arizona includes:

• Setting up your firm’s account on the Investment Adviser Registration Depository (IARD) system
• Acting as liaison with the Arizona Securities Division
• Facilitating the payment of all Arizona state registration fees
• Preparing and filing Form ADV Part 1 via the IARD system
• Preparing and filing Form ADV Part II via the IARD system
• Filing balance sheet directly with the Arizona Securities Division
• Filing No Investment Adviser Activity Affidavit directly with the Arizona Securities Division
• Drafting a compliance manual in conformity with the Arizona Administrative Code
• Drafting investment advisory and financial planning agreements
• Drafting of the privacy notice
• Filing Form U4 for investment adviser representatives
• Filing Arizona Fingerprint Card

Important Additional Information for Arizona Registrants:

Financial Reporting Requirements

An investment adviser registered in the State of Arizona, and who takes or retains custody of securities or money of a client or requires payment of advisory fees six months or more in advance and in excess of $500, must file with the Arizona Securities Division within 90 days after the investment adviser’s fiscal year-end an annual audited balance sheet, including footnotes, together with the independent certified public account’s report.

If the investment adviser’s principal place of business is in another state, and the investment adviser is registered in that state, and the investment adviser has complied with the financial reporting requirement of that state, the investment adviser may file (in lieu of submitting the above audited balance sheet) with the Arizona Securities Division a copy of the financial reports that the adviser files in that state.

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Please call us toll free at 888-798-2930 for more information about our Arizona “Turn-Key” Registration Program.