Bates will aid in the drafting and submission of all required documents to register a Registered Investment Advisor (“RIA”) firm. Bates takes a holistic approach to the registration process by first working with the firm to design, create and implement the RIA’s compliance program prior to completing its registration. The SEC (as well as state regulators) will expect that, upon approval, the firm is meeting all the regulatory requirements from that point forward.

Upon completion, the RIA will receive a set of documents including, but not limited to:
  • Form ADV 1
  • Form ADV 2A (Firm Brochure)
  • Form ADV 2B (Brochure Supplement)
  • Privacy Policy
  • Form CRS, if applicable (SEC Registrants)

In addition, the client will be able to leverage the knowledge of the Bate Compliance consultant to explain the content and implementation of all required documents. Once approved by the State or SEC, we recommend RIAs speak with a Bates consultant about additional services Bates can offer to help maintain compliance with various ongoing obligations.

Let's Connect