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Our Process

Just Compliance "Gets It Done"

THIS IS HOW WE GET STARTED

THIS IS WHAT WE DO

Advisor Registration and Annual Review

Maintain the registration materials for the Advisor with the applicable regulator(s).

Review and update Form ADV for the annual filing requirements or upon material change(s) to the Advisor’s business practices.

Annual review of the jurisdictions in which the Advisor conducts business to ensure proper registration.

Reconcile ADV to client agreements and other related documents for consistency in approach and disclosures.