We can work with you to implement
a customized program designed to meet your firm’s needs and responsibilities as a registered investment adviser. The following is a list of services that PHD Consulting Services provides to investment
advisers:
- Registration of SEC and State Register Investment Advisers
- Notice Filings,
Licensing and Renewals
- Document Drafting -
o
Form ADV
o Client Agreements
o
Other RIA Agreements
o Compliance Manuals
o
Privacy Policies
- Mock SEC and State RIA Audits
- Advertising Reviews
- Asset
Management Suitability Reviews
- Business Planning, and Risk Management-Insurance Planning
- Due Diligence
Reviews
For more
detailed information or consulting fee quotes please contact PHD Consulting Services at:
PHD Consulting Services is not a law firm and does not provide legal advice. For more information, please view our Consulting Disclosure webpage .