Registered Investment Advisers

We can assist you with your regulatory, compliance and transactional needs. For new registrants, QLP offers a comprehensive suite of services, including registration and development of written supervisory procedures, codes of ethics, business continuity plans and annual and quarterly compliance reviews intended to make your compliance efforts more efficient and effective.

At our hourly rate, we are competitive with any registration and compliance firm in the United States – and most importantly, you pay as you go. There are no upfront fees, mandatory minimums, or service plan commitments.

Allow us to review your compliance policies and procedures, regulatory disclosures and business processes, and assist you in developing a more efficient and effective program that is adaptable to your business and circumstances.

Have you been examined or are you currently under exam/investigation? Please reach out to us to evaluate your compliance and regulatory risks and provide counsel concerning remedying deficiencies and resolving regulatory disputes.

Are you seeking to acquire a practice or merge with another advisory company? Are you looking to add advisers, sub-advisers or other investment opportunities to your customer offering? Is there a complex or alternative product or strategy you intend to incorporate into you portfolios or strategies?

We can assist with acquisitions, mergers, new agreements and additional compliance and disclosure documents necessary to expand your business and customer base.