Registered Investment Advisers

Luxor Financial Group offers a full array of services to facilitate the set up of your Registered Investment Adviser (RIA) Including:

Comprehensive Written Supervisory Procedures;
Anti-Money Laundering Procedures;
Business Continuity Planning.

Preparation of:
Form ADV;
Firm’s Brochure;
Business Plan.

Registrations:
Firm Personnel licensing and exams;
State and SEC.

Registered Investment Advisory Regulation (State & SEC)

Preparation of responses to State & SEC Regulatory Inquiries;
Updates to Written Supervisory Procedures;
Day-to-day guidance for operations.

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