Investment Advisor Services

Asgard’s Investment Advisor compliance services offer consulting on State and SEC rules and regulations as well as assistance with becoming a registered Investment Adviser. The costs for IA registration varies according to the structure, disclosures, fees and charges to customers, and whether you require continuous and regular supervisory or management services. Our consulting services also include updating written compliance policies and supervisory procedures, continuing education needs and training plans, and the execution of form filings (Form ADV amendments, etc.) via WEB IARD.

Chief Compliance Officer services

Investment Adviser Registrations

Annual Compliance Meetings

Anti-Money Laundering Independent Testing

Annual Compliance Assessment

Marketing Materials

Policies and Procedures

Code of Ethics

Training and Education

Compliance Calendar

Disclosures and Certifications

Outside Business Activity Tracking and Reporting

Personal Trading Reviews

Liaison with Regulators

Mock Audits

Gap Analysis

Risk Assessments

SEC Filings

Blue Sky Filings

Trade Review


Best Execution Analysis

Regulatory Responses

Committee Meetings