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

• Setting up your firm’s account on the Investment Adviser Registration Depository (IARD) system
• Acting as liaison with the Missouri Securities Division
• Facilitating the payment of all Missouri 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
• Completion and filing of State Covered Investment Adviser Affidavit directly with the Missouri Securities Division
• Filing the balance sheet directly with the Missouri Securities Division
• Filing of Designation of a Qualifying Officer
• Drafting a compliance manual in conformity with the Missouri Code of State Regulations
• Drafting investment advisory and financial planning agreements
• Drafting of the privacy notice
• Filing Form U4 for investment adviser representatives

Important Additional Information for Missouri Registrants:

Financial Statements

A financial statement consists of a balance sheet, a profit and loss statement, statement of change in financial condition, certified unless otherwise prescribed hereinafter or permitted by the commissioner.

Every applicant for initial registration as investment adviser in the State of Missouri must file a verified balance sheet current within thirty (30) days prior to filing.

Net Worth Requirements

Every investment adviser registered in the State of Missouri must have and maintain net worth (assets minus liabilities), to include all cash, securities and tangible assets of not less than five thousand dollars

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