Our “turn-key” investment adviser registration program for the Commonwealth of Virginia includes:

• Setting up your firm’s account on the Investment Adviser Registration Depository (IARD) system
• Acting as liaison with the Virginia Securities Division
• Facilitating the payment of all Virginia state registration fees
• Preparing and filing Form ADV Part 1 via the IARD system
• Preparing and filing Form ADV Part II directly with the Virginia Securities Division
• Drafting and filing investment advisory and/or financial planning agreements
• Drafting and filing a copy of the compliance manual directly with the Virginia Securities Division
• Drafting and filing a copy of the business continuity plan directly with the Virginia Securities Division
• Drafting of the privacy notice
• Filing copies of all advertisements, stationary and business cards
• Filing Affidavit of Prior Investment Activities in Virginia
• Filing financial statements
• Filing Form U4 for investment adviser representatives

Important Additional Information for Virginia Registrants:

Financial Statements

Investment adviser applicants in the Commonwealth of Virginia must file the following financial statements:

1. A trial balance of all ledger account;
2. A statement of all client funds or securities that are not segregated;
3. A computation of the aggregate amount of client ledger debit balances;
4. A statement as to the number of client accounts; and
5. Financial statements prepared in accordance with generally accepted accounting principles that shall include a balance sheet, income statement, and statement of cash flow.

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