McCormick & O'Brien, LLP
Solutions to Problems

Registered Investment Advisor Services

Registered Investment Advisor Services

McCormick & O’Brien LLP provides extensive registration services to both firms and individuals interested in Investment Adviser registration at the state and SEC level. We explain in detail the SEC and state registration process and requirements, assist you in structuring your firm’s investment advisory programs, prepare your investment advisor registration documents and serve as your liaison with the SEC or state securities regulators. By utilizing the expertise, experience and efforts of our consultants for such a significant undertaking, you will be able to better leverage your time and focus upon growing your new investment advisory business.

With regard to Compliance, McCormick & O’Brien provides Investment Advisers with customized comprehensive compliance programs. The compliance program can be tailored to include:

  • Develop Narrative versions of Form ADV
  • Calendar, Reminders, Checklists & Forms.
  • Code of Ethics & Supervisory Procedures.
  • Form ADV.
  • Solicitor Disclosures and Agreements.
  • Wrap Program.
  • IARD Service Bureau.
  • IAR Registration Analysis.
  • Advertising Review.
  • Fee Audit.
  • Review of quarterly personal securities transactions and annual holding reports.
  • Qualitative analysis of best execution.
  • Compliance Training.
  • Compliance Committee Meetings.
  • Annual Review/Compliance Assessment.
  • Mock SEC examination of your investment advisor.
  • Preparing and submit Form13F and Schedule 13G filings via EDGAR

Alternatively, McCormick & O’Brien can be retained to provide compliance consulting to your investment adviser on an as-requested basis.

In addition to our attorneys, we have accountants, finance professionals, registration specialists and compliance specialists on staff.

Drawing upon the skill and experience of our Litigation, Compliance and Corporate practices, we offer valuable counseling to clients when responding to subpoenas, facing regulatory inquiries, or seeking to establish better internal controls.

Additionally, our litigation group is able to investigate and respond to pre-litigation customer complaints or claims on your behalf. We understand that every form of litigation, even arbitration, can be costly. In order to minimize the expense and inconvenience to our clients, we promptly evaluate the merits of each claim. If a claim has merit, we advise our clients and recommend a course of conduct that may prevent an arbitration claim or lawsuit from being filed, avoiding the cost and inconvenience of proceeding to arbitration.