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

• Setting up your firm’s account on the Investment Adviser Registration Depository (IARD) system
• Acting as liaison with the North Dakota Securities Commission
• Facilitating the payment of all North Dakota 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 North Dakota Securities Act
• Drafting investment advisory and financial planning agreements
• Drafting of the privacy notice
• Filing Form U4 for investment adviser representatives

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