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

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

Important Additional Information for Oklahoma Registrants:

Financial Statement Requirements

Applications for registration as investment advisers in the State of Oklahoma must contain audited financial statements for the applicant as of the end of its last fiscal year. If the audited financial statements are not current to within ninety (90) days of the date of filing, additional unaudited financial statements shall be submitted covering the period from the beginning of the current fiscal year through a month ending within the 90-day time frame.

Investment advisers who are individuals or sole proprietorships, in lieu of audited financial statements, may provide financial statements that have been prepared in accordance with generally accepted accounting principles and which have been reviewed and reported upon by independent accountants in accordance with the standards for the review of financial statements promulgated by the American Institute of Certified Public Accountants.

The financial statement requirements do not apply to an investment adviser unless the investment adviser has custody or possession of clients' funds or securities or requires prepayment of advisory fees six (6) months or more in advance and in excess of $500.00 per client.

…………………………………….

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