Simplifying Your Path to Success.

Adviser In A Box™

All-In-One Investment Adviser Turnkey Solution.

    • Stay ahead of regulatory compliance with our advanced compliance software, powered by Hadrius.

    • Automate routine compliance tasks, ensure regulatory adherence, and reduce the risk of costly fines, so you can focus on your clients and business growth with peace of mind.

    • Features include:

      • Electronic Communications AI Review and Archiving

      • Marketing AI Reviews and Archiving

      • Monitoring Employee Outside Brokerage Accounts

      • Compliance Calendar

      • Certification Tracking

      • Outside Business Activity Tracking

      • Gift and Entertainment Expense Tracking

      • Political Contribution Tracking

      • Firm Records

      • Disclosure Version Control and Tracking

      • And more...

    • We create a stunning, fully-customized website with built-in mobile-friendly features to ensure your advisory services are accessible anytime, anywhere.

    • Showcase your brand, attract new clients, and provide seamless user experiences across all devices.

    • We handle the full registration process with the SEC or State regulator, so you don’t have to.

    • From document preparation to filing, we ensure that your advisory firm meets all regulatory requirements and is set up for success right from the start.

    • No legal fees. Flat fee pricing.

    • Gain access to a team of seasoned experts who understand the complexities of financial advising. Whether it’s navigating regulatory challenges or optimizing your client relationships, our expert resources are here to guide you every step of the way, helping you build a thriving advisory business.

    • Leverage the power of HubSpot's marketing, sales, and service software seamlessly integrated into our platform.

    • Automate your marketing campaigns, optimize your sales pipeline, and provide exceptional service to your clients, all while driving growth and engagement through data-driven insights.

    • We provide continuous oversight to ensure you remain compliant with SEC, FINRA, and state regulations, offering automated solutions for monitoring, reporting, and risk management.

    • Our team of experts also delivers operational support to streamline your day-to-day processes, from transaction tracking to regulatory filings, ensuring your firm runs efficiently and stays ahead of compliance requirements.

    • Focus on growing your business while we handle the complexities of compliance and operations.

    • Our Adviser Platform, powered by Wealthbox, offers you a cutting-edge CRM solution designed specifically for financial advisors.

    • Effortlessly manage client relationships, track activities, and stay organized with this intuitive, all-in-one platform tailored for your advisory needs.

Your Turnkey Solution.

    • Free 60-minute Consultation: Determine the correct regulatory path for your firm.

    • Personalized Strategy: We start with a detailed consultation to understand your business goals and develop a tailored strategy for your Broker-Dealer or Investment Adviser.

    • Regulatory Roadmap: Our experts clearly outline all regulatory requirements and milestones.

    • Staff Training: Comprehensive training programs for your team to ensure they are fully prepared to operate within the regulatory framework.

    • Ongoing Support: Continuous support and guidance throughout the initial setup phase and beyond, ensuring smooth operation and regulatory compliance.

    • Form ADV Filing: We file the Form ADV for you based on your Investment Adviser status. Whether you are an Exempt Reporting Adviser (ERA), Internet Adviser, or Registered investment Adviser (RIA), we have you covered.

    • Follow-Up and Liaison: Our team liaises with regulatory bodies, promptly addressing any queries or additional information requests.

    • Systems and Processes: We set up the essential operational systems and processes, including regulatory platforms, customer account management, and record-keeping systems.

    • Cybersecurity and IT: Implement top-tier cybersecurity measures and IT infrastructure to protect your business and client data.

    • Let us connect you with cutting-edge Investment Adviser platforms that leverage AI to reduce your workload and enable you to grow your business quickly.

Start Strong with Our All-in-One Adviser Solution.

    • GiGCXOs leverages its third party AI tech platform to review advertising and marketing materials in compliance with SEC and FINRA rules, ensuring firms meet all regulatory standards.

    • We can perform these reviews for you or you can license our AI Reg Tech platform.

    • Compliance Program Design: We design and implement a robust compliance program tailored to your business model, covering all aspects of regulatory compliance.

    • Chief Compliance Officer (CCO) Services: Access fractional CCO services to oversee your compliance framework and ensure ongoing FINRA and SEC regulations adherence.

    • Create comprehensive compliance policies and procedures tailored to your firm’s operations. This includes a code of ethics, supervisory procedures, and other regulatory requirements.

    • Develop a compliance manual that outlines your firm’s policies and procedures for meeting regulatory requirements.

    • Designate a qualified individual as the Chief Compliance Officer responsible for overseeing and implementing the firm’s compliance program.

    • Developing an Anti-Money Laundering Compliance Program (AMLCP)

    • Documenting and training on a Customer Identification Program (CIP) 

    • Compliance Manual Creation/Customization/Review (Policies and Procedures)

    • Investment Advisory Agreements Creation and Review

    • Solicitor Arrangements Creation and Review

    • Privacy Policy Creation and Review

    • Our innovative AI technology is designed to monitor all your firm's digital communication channels—email, chat, social media, and more—ensuring you're always a step ahead of potential compliance risks.

    • By automatically reviewing and flagging content for regulatory infractions, our solution not only helps prevent costly fines but also streamlines your compliance processes.

    • Draft the firm’s business structure, such as a corporation, limited liability company (LLC), or partnership.

    • Liaise with the firm’s legal counsel to establish the entity.

    • File entity registration with State government.

    • Sourcing and completing fidelity bond application

    • Selecting a clearing firm and documentation review (if applicable)

    • Draft client agreements that outline the services provided, fees, and terms of the advisory relationship.

    • Guidance on third-party investment adviser platforms for building your client base and ensuring compliance oversight.

    • Depending on the firm's size and assets under management (AUM), registration will be with the state securities regulator or the Securities and Exchange Commission (SEC). 

    • Draft the firm’s business structure, such as a corporation, limited liability company (LLC), or partnership.

    • Liaise with the firm’s legal counsel to establish the entity.

    Draft and File Form ADV:

    • Part 1: Provide detailed information about your firm’s operations, ownership, clients, employees, business practices, affiliations, and disciplinary events.

    • Part 2: This section includes the narrative brochure (Part 2A) outlining your advisory services, fees, disciplinary information, conflicts of interest, and a brochure supplement (Part 2B) on key personnel.

    • Submit Form ADV using the IARD (Investment Adviser Registration System)

    • Facilitate payment for registration of the firm. The fees vary depending on registration with the SEC or state regulators.

Why Choose Us?

Buy An Investment Adviser?

    • Acquire an established Investment Adviser and start operations right away, bypassing lengthy setup processes.

    • Benefit from an existing client base, operational systems, and established procedures, saving time and effort.

    • The entity already has the necessary FINRA or SEC approvals, reducing uncertainty and complexity in regulatory compliance.

    • Leverage the goodwill and reputation of the existing firm to enhance trust and credibility with clients and partners.

    • The upfront cost of acquiring an adviser, including the purchase price and due diligence expenses.

    • Inherit potential legacy issues such as outdated technology, compliance concerns, or cultural mismatches.

    • Integrating the acquired firm into your operations can be complex and require significant adjustments.

    • Potential hidden liabilities or unforeseen challenges may arise, necessitating thorough due diligence.

    • The scope of approved business lines may not align with the new firm’s business strategy, which will require a change in membership application that will take an additional 90 - 120 days.

Tell Us What You Want.

We’ll Locate An Investment Adviser For You.