Compliance Services

DMS delivers a suite of regulatory compliance services tailored to the needs of investment managers, registered investment companies, hedge funds/alternative investment products, money managers and exchange-traded funds/vehicles. We establish long-standing relationships with global service providers in the investment management industry, ensuring that our shared clients receive consistent, high-quality services. Our approach to promoting compliance excellence is achieved through the diverse experience and knowledge of our trusted and dedicated compliance professionals coupled with the strategic oversight of senior management.

Registration Consulting Services – (New Adviser Registration)

Registration Services (Form ADV)

DMS will assist clients looking to become registered as a registered investment adviser with the SEC. We will perform the following tasks:

  • Assist in setting up your FINRA IARD account by preparing IARD entitlement forms.
  • Assist in preparing your Form ADV
  • Work with the SEC during the registration process

Material Change Registration (Form ADV) Updated

  • Monitor business changes to determining if a material updated needs to be filed.
  • Assist in preparing and filing any material update.

Ongoing  Annual Registration (Form ADV) Support

  • Perform your firms annual registration update.
  • Assist filing the Form ADV annual amendment.

KEY CONTACTS

Wade Boylan

Wade Boylan

Executive Director - Compliance Regulatory Services