Syndicate Legal Advisory Services provides nationwide legal document preparation services for Registered Investment Advisers (RIAs) required to prepare Form ADV Part 1 and Part 2 under the Investment Advisers Act of 1940 and applicable state securities laws. We prepare the Form ADV filings and related brochures based on the firm information, business details, disclosure content, and specific instructions you provide.
Documents Commonly Prepared
We prepare a full range of documents associated with Form ADV Part 1 and Part 2, including but not limited to:
- Form ADV Part 1: Completion of Part 1A (and Part 1B if applicable for state registration), including firm identity, ownership, business activities, assets under management, client types, disciplinary history, and related schedules, based on the information you supply.
- Form ADV Part 2A (Firm Brochure): Formatting of the narrative firm brochure in plain English, covering services, fees and compensation, types of clients, methods of analysis and investment strategies, disciplinary information, other financial industry activities, code of ethics, brokerage practices, custody, investment discretion, voting client securities, and other required items, based on the content and descriptions you provide.
- Form ADV Part 2B (Brochure Supplements): Preparation of brochure supplements for supervised persons, including education, business experience, disciplinary information, other business activities, and additional compensation, based on the individual details you supply.
- Annual Updating Amendments: Preparation of materials for the annual updating amendment to Parts 1 and 2, based on updated information you provide.
- Other Amendments: Formatting of prompt amendments for material or other required changes, based on the revised details you supply.
- Related Supporting Materials: Organization of exhibits, schedules, or attachments incorporating client-supplied information referenced in the filings.
Documents are prepared for use in connection with electronic filings through the Investment Adviser Registration Depository (IARD) system (subject to the information you provide). Form ADV Part 1 is filed with the SEC or state securities authorities as applicable; Part 2A is filed (for SEC-registered advisers) and delivered to clients; Part 2B is generally not filed with the SEC but is delivered to clients; an annual updating amendment is required within 90 days of the end of the firm’s fiscal year; other amendments are required promptly in certain circumstances; clients remain fully responsible for the accuracy of the underlying information and disclosures, timely filing via IARD, client delivery obligations, and compliance with all Investment Advisers Act, SEC, and state requirements.
