Get your registered investment advisor (RIA) off to the right start.

Our RIA Registration Essentials™ service provides you with expert assistance to get your new RIA firm up and running as quickly as possible. RIA Registration Essentials™ is a comprehensive, turn-key solution that covers the core aspects of starting your RIA firm, including: SEC or state registration, compliance program design, client agreements, custodian selection, technology support, and training. Our comprehensive services include:

	Registration Essentials™
RIA Business Overview Consultation. Review planned business model and answer related questions on registration and compliance.
Registration Requirements. Research applicable SEC and/or state requirements for firm and advisory persons.
Filing Entitlements. Obtain access rights for the IARD and CRD systems managed by FINRA.
ADV Filing. Draft and file Form ADV Part 1A and Part 1B (for state registrants). Unlimited changes to ADV filing for 1 Year.
Form ADV 2A – Plain English. Draft and file Form ADV Part 2A – Disclosure Brochure in a customized and advisor branded format.
State Requirements. Prepare state specific requirements for primary state, as applicable.
Liaison to Regulators. Responding to regulatory inquiries and manage questions or comments to ensure timely registration.
Form ADV2B. Draft Form ADV2B – Brochure Supplement for Investment Advisor Representatives (“IARs”).	Up to 2 IARs*
Form U-4. Draft and file Form U-4 for each Investment Advisor Representative.	Up to 2 IARs*
Examinations. Scheduling of Series 65 or Series 66 exam, as applicable (File U-10 or U-4) for each Investment Advisor Representative.
Customized Compliance Policies and Procedures, including all applicable regulations for your firm. Includes: Core Supervisory Procedures Trading Practices Social Media Policy References to applicable rules Customized by firm and jurisdiction
Privacy Policy. Privacy Policy that covers all regulatory requirements and state-specific standards.
Code of Ethics. Customized Code of Ethics defining your firms personal trading, gifts and conflict of interest policies.
Business Continuity Plan. Review Advisor technology decisions, document management and contingency planning.
Customized Client Advisory Contracts. Separate custom contracts to match your offerings, including Investment Management and Financial Planning services, as applicable.
Custodian Selection. Guidance and support in selecting the “Best-Fit” Custodian(s) for your firm.
Advertising Review. Review of advisor advertising materials and/or disclosure development for planned advertising materials.	Website and Firm Presentation
Chief Compliance Officer Training. Complete training on compliance responsibilities, workflow and best practices for your CCO and staff.	CCO and up to 2 Staff
AdvisorAssist Resources™. Access to AdvisorAssist Resources™, our online advisor resource center for business, compliance and technology topics.
Newsletter and Email Alerts. Access to Advisor InSights™ newsletter and periodic email updates on relevant RIA topics.
Optional Services:
Additional State Jurisdictions. Firms and advisory persons that conduct business in more than 1 state.	Additional Fees Apply
Ongoing Compliance and Regulatory Support. AdvisorAssist is here to support you after initial start-up.	View Compliance Services
Email Monitoring and Archiving. Stay productive and compliant with the right email and archiving solution.	Free Setup - 2 Users**
*    IARs with legal, regulatory or financial disclosure issues may be charged an additional fee. **   Excludes annual service fees and activation fees.

Please call us at 866.513.4042 or complete the adjacent form to discuss your specific situation and obtain pricing for complex situations. If you are concerned with the timing and disclosure of your transition to your RIA, AdvisorAssist can often incubate your firm. Learn more about our RIA Transitions Incubation™ service.