Investment Adviser Services

SSG Advisor's Investment Division offers hourly and flat fee consulting on State and SEC rules & regulations. We also assist in the State and SEC registration process. We produce and update written compliance policies and supervisory procedures, continuing education needs and training plans, and execute form filings (Form ADV amendments, etc.) via WEB IARD. Our hourly and flat fee consulting services also include specialized projects, including mock regulatory examinations and branch audits.

New Investment Adviser Registration
SSG Advisors LLC can take you through the process of becoming a State or SEC investment adviser. Our qualified consultants will take you through the entire registration process from start to finish. The costs for the investment adviser registration process varies according to the structure, disclosures, fees and charges to customers, and whether you offer continuous and regular supervisory or management services.

Please feel free to call us so we may set up a FREE telephone appointment to speak with one of our expert consultants. An initial call with one of our experts will typically take between 45 to 60 minutes to discuss the following items: The types of services that you wish to offer, Types of fees and programs, Types of clients you expect to have, Will the firm exercise discretionary trading authority over your client accounts, Legal formation of company (i.e. LLC, corporation, state of formation), State registrations needed & Broker-Dealer affiliations or relationships.

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    • Services List

    • • New Investment Adviser Registration
    • • Customization of Written Compliance Policies & Procedures & Annual Updates
    • • Form ADV Part I & II Updates
    • • On/Off Site Mock SEC Examinations
    • • Electronic Communications Review & Retention
    • • Code of Ethics
    • • Review of Website, Advertisements & Brochures
    • • Annual Compliance Training
    • • Act as IARD Service Bureau for IARD Accounts
    • • Due Diligence Services, Including Background Checks
    • • Respond to SEC/State Letters
    • • Privacy Policies
    • • Business Continuity & Disaster Recovery Planning
    • • Expert Witness
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