We eliminate start-up costs associated with registration by including a full suite of registration services under our retainer-based fee program, including all parts of Form ADV and developing customized compliance policies.  Orical’s team of industry-experienced investment management professionals has extensive experience registering investment advisers with the SEC and state regulators. We are uniquely positioned to register investment advisers following the enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act. We have helped numerous firms navigate the registration requirements for the first time.

The in-house industry experience of our professionals enables us to provide investment advisers with timely, practical advice and hands-on assistance with a unique understanding of today’s issues facing investment advisers. We understand the costs of obtaining quality advice and help from another experienced professional are often unpredictable and expensive. We typically negotiate cost-effective flat rates for our services, from the initial investment adviser registration process to monthly flat rates for compliance monitoring and advice. Such services include the development of customized compliance programs, compliance manuals, code of ethics, and other compliance documentation, as well as the conducting of mock audits pursuant to the regulations of the SEC, CFTC, NFA, and FINRA.

For any registration inquiries, please reach out to us at info@orical.org. One of our experienced professionals will respond promptly.