Each state has its own rules regarding the registration of investment advisors –the required forms and supporting documentation, the length and complexity of the process and each examiner’s specific priorities.

Greyline manages the entire state registration process, and coordinates the efforts of our clients, their legal counsel and state examiners to ensure a seamless process from start to finish.

Our process includes:

  • Analyzing the firm’s business model, strategies and growth goals
  • Preparing and filing Form ADV Part 1, 2A and 2B
  • Preparing and filing any state-specific forms
  • Reviewing, advising on and coordinating responses to examiners’ questions and requests
  • Drafting custom policies and procedures
  • Onboarding, including training of all firm employees

Pursuing state registration? Let us help you with the process!

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