Services Built for YOU!
New RIA Registration
- Launching your firm is a busy time for you. We don't send you questionnaires to fill out (effectively making you write your own documents). We will learn your business through one-on-one conversations, then together we build your registration and compliance documents.
- Tirador’s exclusive Policies and Procedures ("P&P" or "WSP"), are scaled for your firm and processes, and built directly on the regulations that apply to your firm. We maintain and update your P&P for as long as you remain a Tirador client.
Annual Reviews and Updates
There are four major recurring requirements for every RIA. Tirador works with each client on these reviews, and recommends the following schedule:
- Annual ADV Amendment – Q1: All RIAs are required to file an annual amendment by 90 days after the end of the firm’s fiscal year. Tirador helps you to ensure that the updates are accurate and timely, while minimizing the time taken away from running your firm.
- Policies & Procedures/Books & Records Review – Q2: All advisory firms are required to have written supervisory procedures (WSP) and specific books and records. Tirador's WSPs reflect your firm’s business and scale.
- Cybersecurity Review – Q3: You will have an inventory of your IT hardware, security software, and systems to assess and mitigate your cybersecurity risks.
- Business Continuity Planning – Q4: Business continuity planning addresses risks that could impact your ability to conduct business. We'll help you find them!
State-to-SEC Transition
- We love it when our clients succeed! We can facilitate the regulatory filings, help prepare your firm for the differences between state and SEC regulation, and continue to support your compliance program once SEC registration kicks in!
Regulatory Filings
We work daily in the CRD/IARD system (try to contain your envy) and can get these done for you quickly and efficiently.
- Firm Registration - Your ADV describes your business to the regulators.
- Annual Updates - Due within 90 days of year end, these review and update your firm's registration information.
- Amendments - Your registration information must be updated timely whenever there is a change in your business.
- ADV Part 2A (Brochure) - Just like ADV Part 1, this plain-English document describes your firm's business to clients and prospects.
- ADV Part 2B - All IA firms must have Part 2B, and state-registered firms must include the 2B in registrations and updates.
- U4/U5 Maintenance - Each representative's information needs to be accurate and up-to-date.