Certain marketplace lending activities may require your company to register as an investment adviser. Registration - and your company’s ongoing existence as a registered investment adviser - is a highly regulated and complex endeavor. With our turn-key solution, we ensure that your registration conforms to all applicable federal and state requirements.

Our registration professionals will:

  • Provide you with unlimited registration consulting
  • Act as your company’s Investment Adviser Registration Depository administration
  • Serve as regulatory liaison with the SEC or applicable state regulator(s)
  • Complete and file Form ADV Part 1
  • Draft and file Form ADV Part 2A /2B
  • Register investment adviser representatives
  • Draft customized compliance policies & procedures that meet applicable regulatory standards
  • Draft a customized code of ethics
  • Provide your company with a disaster recovery plan template
  • Review marketing material for compliance with applicable regulations