3900 Veterans Memorial Highway, Suite 360, Bohemia, NY 11716

(631) 801-2900

Investment Adviser



• New Investment Adviser Registration

    Customization of Written Compliance

• Policies & Procedures & Annual Updates

• Form ADV Part I & II Updates

• Form PF

• On/Off Site Mock SEC Examinations

• Periodic Review of Electronic

  Communications and Social Media

• Code of Ethics

• Review of Website, Advertisements

  & Brochures

• Annual Compliance Training

• Act as IARD Service Bureau for

  IARD Accounts

• Respond to SEC/State Letters

• Privacy Policies

• Business Continuity & Disaster

  Recovery Planning

• Expert Witness


Asgard offers hourly and flat fee consulting on State and SEC rules and regulations. We also assist in the State and SEC registration process. We produce and update written compliance policies and supervisory procedures, continuing education needs and training plans, and execute form filings (Form ADV amendments, etc.) via WEB IARD. Our hourly and flat fee consulting services also include specialized projects, including mock regulatory examinations and branch audits.


New Investment Adviser Registration

Asgard can take you through the process of becoming a State or SEC investment adviser. Our qualified consultants will take you through the entire registration process from start to finish. The costs for the investment adviser registration process varies according to the structure, disclosures, fees and charges to customers, and whether you offer continuous and regular supervisory or management services.

Long Island Office

3900 Veterans Memorial Highway Suite 360

Bohemia, NY 11716

(631) 801-2900


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