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

• Setting up your firm’s account on the Investment Adviser Registration Depository (IARD) system
• Acting as liaison with the Nevada Securities Division
• Facilitating the payment of all Nevada 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
• Drafting a compliance manual in conformity with the Nevada Administrative Code
• Drafting investment advisory and financial planning agreements
• Drafting of the privacy notice
• Filing Form U4 for investment adviser representatives

Important Additional Information for Nevada Registrants:

Minimum Financial Requirements

An investment adviser registered in the State of Nevada, and who takes or retains custody of securities or money of a client, must:

1. Maintain net capital of not less than $20,000 or a tangible net worth of not less than $35,000; and

2. Promptly submit to the Office of the Administrator a copy of the certificate of an accountant that is required to be filed with the Securities and Exchange Commission pursuant to 17 C.F.R. § 275.206(4)-2.

An investment adviser who has a principal place of business in a state other than the State of Nevada must maintain only such minimum capital as is required by the state in which the adviser maintains his principal place of business, if the investment adviser is licensed in that state and is in compliance with that state’s requirements for minimum capital.

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