Your initial investment adviser registration is the foundation of your practice. Whether you seek SEC or state filing status, SCMG utilizes a diligent, proven approach to get your firm effectively registered and to provide a solid footing for your firm's future.
SCMG has been the trusted partner to many new investment adviser entrants in the investment services industry. Nothing matters more in the registration process than an open line of communication, accuracy, professionalism and responsiveness. Let our professional consulting team apply their expertise in licensing and registration to facilitate your adviser's initial registration. However simple or complex, SCMG will ensure that the foundation for your future success is solid.
To be compliant with SEC and State regulations, your firm must adopt a "culture of compliance," name a Chief Compliance Officer and implement a systematic compliance program. However, you do not have to do it alone. SCMG has helped many regulated investment firms get on the road to compliance and stay there. Once we have gone through the process of registration together and prepared your compliance manual, we will understand the details of your business. SCMG will partner with your firms CCO, and efficiently and effectively assist them, in the ongoing administration of your compliance program. Our clients include hedge funds, broker-dealers and investment advisers ranging from small to large investment firms.
SCMG provides a comprehensive registration service which covers all of the requirements for SEC and State registrations. This service addresses all of the following key elements required for a successful registration.
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