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.
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.