Investment Advisor Registration



BDC also advises investment advisors. Over the years BDC’s practice has expanded from totally broker/dealers to both BD’s and IA’s. Services offered include new IA registrations as well as ongoing consulting and services.

New Investment Advisor Registration

 

Whether the business should be registered with its resident state or the SEC, BDC will handle the process from start to finish. BDC will provide guidance as to the process and registration needed. We make the filings and work with you and the regulatory body to gain registration.

Ongoing Investment Advisor Services

 

 Whether you are newly registered or an existing IA, BDC offers ongoing IA services to existing IA’s. Our investment advisor services include:

  • Annual reviews
  • Registration and licensing for the IA and Individuals
  • Updating and filing Form ADV
  • Policies and Procedures Manual
  • Code of Ethics
  • Risk Management Policy
  • Ongoing consulting in relevant areas.
  • And much more!

Please request additional information via our information request form under “Contact Us”.



Consulting Services


BDC’s business is consulting! Regardless of the type of entity or the end user, BDC provides a wide range of advice concerning regulations, business formation and other issues which may arise.

Special projects may exist such as accounting, registration, independent reviews as may be required by a regulatory body, etc. BDC helps to meet this need. Training of personnel can be provided to meet regulatory needs on a case by case basis.

In addition, litigation support is supplied to various legal firms and attorneys or to our clients in conjunction with council. Whether acting as an expert witness or reviewing cases to provide guidance to legal counsel. We can provide valuable insight to how the system works.

Please request additional information via our information request form under “Contact Us”.