Registered Investment Adviser Services

Quadrant Compliance Group LLC specializes in supporting compliance efforts for SEC and state Registered Investment Advisers. We are committed to providing clients with only quality, customized compliance consulting services and products. Our professionals, consisting of former regulators and compliance officers, have extensive experience with managing RIA compliance programs.

Annual Review

SEA Rule 206(4)-7 requires advisers to conduct an annual review to determine whether the firm’s policies & procedures are reasonably designed and implemented to prevent violation of federal securities laws. The review should consider any RIA compliance matters that arose during the previous year, any changes in the business activities of the firm or its affiliates, and any changes in the Advisers Act or applicable regulations that might suggest a need to revise the policies or procedures. Quadrant has extensive experience in performing the reviews required to prepare SEA Rule 206(4)-7 annual reports, and our reports are tailored to address the specific risks of your firm.

Mock Examinations

Are you prepared for a visit from the SEC or state regulators? Our regulatory professionals will perform a mock examination to ensure that your RIA compliance program is able to meet the requirements of a regulatory examination. We employ the same techniques regulators utilize when conducting our examinations. Our mock examination will not only provide you with an indication of your readiness for a regulatory examination, but will also provide recommendations to enhance your compliance program.

RIA Registration

We provide expert assistance in registering your new Investment Adviser with the SEC or state securities authorities in an expeditious manner:

  • Prepare and file Form ADV Parts 1, 2 and the Supplemental Brochure
  • Draft tailored Written Supervisory Procedures
  • Create the Code of Ethics and Business Continuity Plan
  • Register personnel
  • Serve as regulatory liaison

Written Procedures

We have extensive experience in creating, reviewing, and amending Written Supervisory Procedures. The procedures we will design for you will be customized to reflect your actual business model, and will also address all current regulatory requirements. We will amend the procedures to reflect new regulatory initiatives, changes to your business, and industry changes.

Ongoing Compliance Support

We offer ongoing RIA compliance support on a retainer basis to assist you with both routine and complex issues that may arise. Our retainer packages are fully customizable to ensure you only receive the services that you need. The services offered include:

  • Mange the initial registrations, amendments, and renewals of the firm and its investment adviser representatives
  • Amend and file the Ford ADV annually, quarterly, and as necessary
  • Create and review the Code of Ethics, Business Continuity Plan, and Insider Trading Policy
  • Review marketing material
  • Provide targeted and specific training

Liaison with Regulators

We are experienced with assisting firms with preparing for on-site regulatory examinations, and can help you manage the entire examination process. In addition, we can assist with responding to regulatory inquiries. We will work closely with you to ensure that responses to regulators are adequate. Because we are former regulators, we have first-hand knowledge on what they are looking for in a response.

Registered Investment Advisers