At MGL, our team of experts can not only answer your questions, we can coordinate all aspects of your application process including pre-licensing training; firm and agent licensing; preparation and filing of your Form ADV and supplemental state application documents; and MGL can help you make sure your records systems are in place when you begin business. In today’s regulatory environment it is essential to have a partner who can not only guide you through the registration process but who is experienced enough to help you resolve operational issues before they become compliance nightmares.
As part of our registration services, MGL’s experts will review your firm’s business plan with you and prepare your Form ADV, including Schedules D, E, F and H. Disclosures are an important part of the Form ADV and we will take the time to review with you all disclosures required as part of your Form ADV filing. MGL’s staff will handle the filing of your Form ADV as well as all supporting registration documents with the SEC and state regulatory authorities to obtain registration of your firm and its agents. Where required by a particular state, our firm will also prepare and file Form U-4s and Form U-5s for your investment advisor agents. For your convenience, MGL offers a turnkey investment advisor registration package which includes not only our registration services, but also valuable information and services for new investment advisors.
