What's included
Form ADV
Registration and annual updates.
Compliance program
A customized compliance program and code of ethics.
Annual compliance
Annual compliance reviews for new and established advisers.
SEC or state
Switching between SEC and state registration as your firm grows.
Form CRS
Drafting and delivery of the client relationship summary.
Custody & financials
Support with surprise custody exams, financial statement audits and tax returns.
Why firms choose RND
Senior attention
You work directly with principals who have been in the securities industry since 1985, not a rotating junior team.
Hundreds of registrations
Experience with SEC- and state-registered advisers across the country.
Dual registrants
Broker-dealer and adviser compliance from one team, for firms that are both.
Supervised AI, human review
AI agents track rule changes and deadlines and prepare first drafts; an experienced professional reviews every output, consistent with FINRA Regulatory Notice 24-09.
How we work
1. Discovery call
A no-cost conversation about your business model, your regulators and what's due next.
2. Gap assessment
We review your procedures, books and records, filings and exam history against current rules.
3. Build the program
Policies, calendar and set-up sized to your firm, priced up front.
4. Ongoing oversight
Due-date alerts, filings, annual reviews and a senior professional on call when regulators ask.
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Questions firms ask
Do you stay on after registration?
Yes. We provide the compliance program, code of ethics and annual reviews that keep an adviser in good standing.
Can you help us move from state to SEC registration?
Yes. We help advisers switch between SEC and state registration as their assets and business change.
Registering or growing an advisory firm?
Talk with Debasish Banerjee, CPA, in the securities industry since 1985. A principal replies within one business day.
Talk about RIA registration →General information, not legal advice. RND Resources, Inc. is a business consulting firm, not a CPA firm or law firm, and is not affiliated with FINRA or the SEC.