Investment Advisor Registration

Whether and when a firm must register with the SEC are both nuanced questions. Greyline’s expert staff and custom onboarding support ensures accurate and efficient answers to both of these questions.

Our goal is to ensure that each of our clients is well-positioned to succeed as an SEC registrant from the day its registration is approved. Some of the registration processes we assist with include:

  • Analyzing a firm’s business model, strategies and growth goals
  • Preparing and filing Form ADV Parts 1 and 2A
  • Preparing Form ADV Part 2B for required personnel
  • Drafting custom policies and procedures
  • Onboarding, including training of all firm employees

Need assistance with SEC registration? Contact us to set up a call with our team.

  • About Greyline

    Greyline provides outsourced compliance services for private fund managers, commodity pool operators and commodity trading advisors, traditional investment advisors and other financial firms.

  • Contact Us

    450 Geary St., Suite 100, San Francisco, CA 94102
    info@greylinesolutions.com