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

• Setting up your firm’s account on the Investment Adviser Registration Depository (IARD) system
• Acting as liaison with the Louisiana Office of Financial Institutions
• Facilitating the payment of all Louisiana state registration fees
• Preparing and filing Form ADV Part 1 via the IARD system
• Preparing and filing Form ADV Part II directly with the Louisiana Office of Financial Institutions
• Filing of financial statements directly with the Louisiana Office of Financial Institutions
• Drafting a compliance manual in conformity with the Louisiana Securities Law
• Drafting investment advisory and financial planning agreements
• Drafting of the privacy notice
• Filing Form U4 for investment adviser representatives

Important Additional Information for Louisiana Registrants:

De Minimis

The State of Louisiana does not follow the national de minimis rule. Therefore, an investment adviser must be registered in Louisiana regardless of their number of clients.

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