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RegEd Solution

Satisfying the form ADV Part 2B requirements for individual investment advisors includes distributing it to new and existing clients on a regular basis. RegEd’s Form ADV Supplement electronic workflow solution integrates with existing representative data (stored by RegEd and/or FINRA) to streamline compliance while providing speed, efficiency and message consistency.

RegEd’s event-driven supplement creation (e.g. address change, DRP update, education update, etc.) ensures that the firm’s clients always have the most current supplement and are fully in compliance with SEC requirements. This efficient solution enables consistency throughout and streamlines data collections, verification and the approval process.

Form ADV Supplement Solution Diagram

Distinguishing Features

  • Streamlined operational procedures automate data collection, data verification and approval processes.
  • Customized approval workflows leverage existing firm hierarchy and intensify supervisory control.
  • Robust reporting capabilities allow the efficient management and monitoring of compliance activities.

Benefits

  • Reduces the time it takes to create Part 2B by leveraging existing representative data stored by RegEd.
  • Streamlines the data collection, data verification and approval process.
  • Automates ADV Part 2B supplement creation with fully customizable PDFs.
  • Accelerates the approval time of submissions through electronic collection, tracking and filing options.