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

• Setting up your firm’s account on the Investment Adviser Registration Depository (IARD) system
• Acting as liaison with the Georgia Securities Division
• Facilitating the payment of all Georgia 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 financial statements directly with the Georgia Securities Division
• Drafting a compliance manual in conformity with the Georgia Regulations
• Drafting of the privacy notice
• Filing Form U4 for investment adviser representatives
• Facilitating the filing of the Georgia Fingerprint Card

Important Additional Information for Georgia Registrants:

Financial Statements

Every investment adviser applicant in the State of Georgia who has custody of client funds or securities for the purposes of acting as an investment adviser or who requires payment of advisory fees six (6) months or more in advance, and in excess of five hundred dollars ($500.00) per client, shall file with the Georgia Commissioner of Securities an audited balance sheet as of the end of the investment adviser’s fiscal year. Each balance sheet filed pursuant to this Rule must be:

1. Examined in accordance with generally accepted auditing standards and prepared in conformity with generally accepted accounting principles;

2. Audited by an independent public accountant or an independent certified public accountant; and

3. Accompanied by an opinion letter of the accountant concerning the report of financial position (i.e., balance sheet) and a note stating the principles used to prepare it, the basis of included securities, and any other explanations required for clarity.

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