Start a Hedge Fund • Set Up a Hedge Fund • Hedge Fund Startup

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"As Investment Managers our time is spent trading the markets.  When it came to setting up our hedge fund and navigating the various legal agencies involved, we were definitely out of our element.  Fortunately, Evan Rapoport with Hedge Fund Tools was able to act as both a guide and a consultant.  With Evan’s help we were able to form our Funds both inexpensively and with absolute assurance that all the legal aspects were properly handled.  Evan not only introduced us to a number of different service providers, but gave us a background on each, pointing out their strengths and weaknesses."

"Having gone through the complete process, we wouldn’t even begin forming a new fund without Evan being part of the process."

Dan Miller
Great Hills Capital Partners, LLC


Owning your own broker/dealer has its advantages. The profits alone can make it well worth your while. Having a broker/dealer can open the door to doing your own trading and investment banking.  A broker/dealer can also add that certain something to your company, heightening your reputation and name.

However, broker/dealer start-ups require an intense amount of effort and personnel.  The lengthy registration process and course of hurdles make the set-up and operation of a broker/dealer laborious and time-consuming.  Many times, firms submit the initial registration forms, only to be discouraged by the on-going requests for documentation and the constant back-and-forth communication with FINRA.

That is where HedgeFundPackages comes in.  Our experts have helped to set up numerous broker/dealers, expediting the start-up process tremendously.  Working with you to gather the necessary forms and documents, HedgeFundPackages can generally complete the process from start to finish in about 4-5 months.  The team at HedgeFundPackages has the experience, expertise and vast industry contacts needed for setting up a successful broker/dealer. 

What's more, HedgeFundPackages will employ personnel to run your broker/dealer for you.  FINRA has strict requirements when it comes to who may run a broker/dealer.  Their approval will be dependent on whether or not you have a competent, reputable representative to run the company.  Allowing HedgeFundPackages to run your broker/dealer has many advantages to you, the owner.  Not only will we be instrumental in launching in the company, HedgeFundPackages will take care of all the continuing compliance and business procedures as required by FINRA and the SEC.       

Starting your Broker-Dealer

At HedgeFundPackages, we have helped dozens of individuals launch their own broker-dealers.  We do all the behind-the-scenes work so you are freed up to focus on your growing your business.

Whether you are starting a broker-dealer or in the middle of a stalled application, HedgeFundPackages can help.  Here is a look at what our start-up service entails:

  • Initial Consultation
  • Construction of your business plan
  • Preparation of the Form BD
  • Application for FINS#
  • Completion of Form U4
  • Construction of a Written Supervisory Procedures Manual to satisfy FINRA requirements
  • State registrations
  • Help determine which licenses, if any, your representatives will need
  • Application for Fidelity bond
  • Preparation for FINRA membership interview
  • Establishment of an Anti-Money Laundering Compliance Program
  • Establishment of a Customer Identification Program
  • Focus on a continuing business plan
  • Registration with Lost and Stolen Securities Program
  • Deal with all follow-ups with FINRA once forms are submitted

 



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