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

Supervisory Documents:

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

Preparation of:

Form ADV
Firm's Brochure
Business Plan


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