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Starting A New RIA

New RIA Registrations

New RIA Registrations

Wanting to start your own RIA? 

Whether state or SEC, large or small, we prepare your materials and application and provide hands-on assistance guiding you through every step of the complex registration process.

This includes the following:

  • Create and provide any necessary documents for the establishment of a state or SEC-registered investment adviser.
  • FINRA Gateway Entitlement
  • Assistance with business formation
  • Form ADV (all parts)
  • Advisory agreements
  • Policies and procedures (compliance, privacy, Code of Ethics, information security, etc.)
  • Business Continuity Plan
  • Continuous business consulting
  • Full interaction with regulatory bodies and jurisdictions
  • Establishing compliance program

Questions?

Frequently asked questions

Here are some common questions about starting a new RIA:

There's no correct answer to that question. Factors that may increase or decrease the necessary time include the size of the firm, the jurisdiction, the state or SEC examiner reviewing documents, and other factors that our beyond our mutual control.

Yes, if you want those services.

The registration itself doesn't have to cost anything (not including jurisdictional registration fees) if you do it yourself. Besides the jurisdictional registration fees, there's the cost applicable to owning and running a business. We charge fees for registration of the firm. As an investment advisor, you may decide to use different software packages and other tools to deliver services such as a custodian, portfolio management tools and other providers that cater to the investment advice industry.

In short, the cost is highly variable.

Want To Start Your Own RIA?

Set up a call with us. 

Schedule An Introductory Call