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

• Setting up your firm’s account on the Investment Adviser Registration Depository (IARD) system
• Acting as liaison with the New Jersey Bureau of Securities
• Facilitating the payment of all New Jersey 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 New Jersey Bureau of Securities
• Drafting and filing investment advisory and/or financial planning agreements
• Filing copies of sample business card, letterhead, brochure, circular, advisory newsletter, form letter, advertisement, or sales literature intended for distribution to prospective clients
• Drafting a compliance manual in conformity with the New Jersey Administrative Code
• Drafting of the privacy notice
• Filing Form U4 for investment adviser representatives

Important Additional Information for New Jersey Registrants:

Financial Statements

Investment adviser applicants in the State of New Jersey must file a certified statement of the applicant’s must current financial condition as of a date within 60 days of the application; or provided the applicant has been engaged in business for one year or more preceding the date of the application, a certified financial statement as of the end of its last fiscal period, along with an unaudited balance sheet as of a date within 60 days of the application.

An applicant with its principal place of business outside of New Jersey may file with the Bureau of Securities its statement of most current financial condition, as defined under the law of the state in which the applicant has its principal place of business, to satisfy this requirement, provided that the applicant is registered or licensed in the state that is its principal place of business and the applicant is in compliance with the applicable books and records requirements of the state in which the applicant maintains its principal place of business.

Minimum Capital Requirements

Investment advisers in the State of New Jersey that have custody of clients’ funds or securities must have a minimum capital of $25,000 or post a surety bond in the amount of $25,000.

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