Investment Adviser 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 investment adviser 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
insider trading

Learn more about how we support financial services firms' global regulatory, operational and governance needs.

Greyline is pleased to announce that we have made the short list for the 2021 HFM U.S. Service Awards in the Best Advisory Firm and Best Technology Firm – Newcomer categories. The award winners will be announced on September 22.