Intimately understanding the forms, filings, updates, deadlines, and preparation nuances probably isn’t one of your core business functions. But it’s one of ours, which frees up your time to do what your new firm or your existing one is in business to do. From Form ADV Parts 1-3, to Form PF for private funds, to CTA/CPO filings; FrontLine’s expert staff handles it all with ease:
- Form ADV filings – SEC registered investment advisers’ annual filings are due March 31st. Other filings may be needed for material changes, including changes to Part 3; Form CRS
- Form PF filings – Private funds must file either a quarterly or annual form dependent upon firm size; annual filings are due April 30th
- CTA/CPO filings – both annual and quarterly filings are required for pooled investment vehicles
And for initial SEC investment adviser registrations, our services get you registered fast and in a compliant manner that will pass regulatory scrutiny. Our newly registered clients typically receive a “No Further Action” letter upon their first SEC exam. Just two percent of all firms receive that response, and we’ll strive to make sure you’ll be part of the 2 percent too.
FrontLine Compliance’s SEC registration process for new registrants generally takes 6 months, start to finish. We begin by creating the compliance program first, not last. Our competitors will get you registered faster, but not smarter. We ensure that your firm is prepared for its first SEC exam on day one of your active registration. No other compliance consultant can do that for you.
Other SEC filings we can help you with include:
- Form 13f
- Form 13H
- Form D
- New Form BOI
We hired FrontLine Compliance for our SEC investment adviser registration. The firm’s consultants are extremely responsive, and they demonstrated a thorough knowledge base with a regulatory insider’s point of view.