Compliance Solutions for Your Business

Sowell Management Services is here to help solve your compliance problem. The investment advisory industry is booming, but a challenging regulatory environment makes it difficult to navigate complex regulatory requirements. Our team of compliance professionals aim to provide practical solutions to these complex issues, helping your business stay the course in this ever-changing regulatory environment.

Below are a list of compliance services that Sowell Management Services offers. If you would like to discuss your compliance needs, or require more information, please don’t hesitate to contact us at compliance@sowellmanagment.com or call 1-800-399-2391.

 

 

SMS Compliance Services Offered

 

On-going Compliance Assistance Program for RIA

  • Act as the Service Bureau for your IARD account.
  • Prepare/File annual renewal documents
  • Prepare/File annual updating amendment
  • Monthly Compliance Newsletter
  • Monthly/Quarterly/Yearly Checklists for compliance program
  • Risk Assessment Questionnaire/Chart
  • Forensic Testing Ideas
  • Access to Document Library
  • Email alerts explaining new rules and/or regulations
  • Consulting time that can be used for:
    • Form ADV Review/Amendments
    • Client Agreement/Review/Comments
    • Customization of Written Policies and Procedures
    • Website Review and Comment
    • Sample disclosures for marketing, website and advertising.
    • Unlimited (within reason) Telephone/email Consultations
    • Assistance in respond to Regulatory deficiency letters
    • Notice filing or state registrations
    • Registrations or termination so IARs
    • Compliance Meetings
    • Staff training

IARD Administration

As part of its comprehensive Investment Adviser Program, SMS provides a complete IARD filing service including:

  • Initial Form ADV Part 1
  • Amendments to Part 1
  • Form ADV Part 2A and amendments
  • State Notice filings
  • State Registrations for State Advisers
  • Annual amendments

IARD Agent Registration

Firms can outsource the entire IARD administration function or retain SMS to train your in-house staff. SMS provides Investment Adviser Rep services including:

  • Initial U-4 onto IARD
  • Adviser Rep transitions onto IARD
  • Updates to U-4
  • Process U-5 filings

Learn More

For more information regarding Compliance services offered by Sowell Management, please use the link below or send an email to compliance@sowellmanagement.com. A representative will be in touch shortly.