INVESTMENT ADVISORS

• Initial Investment Advisor Registration with the SEC or State Securities Division

• Exempt Reporting Advisors

COMPLIANCE PACKAGES

• Ongoing Compliance Packages for Investment Advisors

SEC REGULATION FORM D FILINGS

• SEC 506 (b)

• SEC 506 (c)

CFTC and NFA EXEMPTIONS for commodity pool operators (CPOs) and commodity trading advisors (CTAs).

• Firm Exemptions

• Pool Exemptions

BUSINESS START-UP PACKAGES

• Includes forming your company, such as Limited Liability Company, Limited Partnership, Corporation, and S-Corporations, in any state

• Obtain Tax Identification Number for your company

• Operating agreement for your Limited Liability Company and Limited Partnership