RIA Registration Overview

Starting a new registered investment advisory firm?

AdvisorAssist is here to guide you every step of the way! As a true partner to entrepreneurial advisors, AdvisorAssist provides comprehensive guidance and expertise to ensure the successful launch of your RIA.

AdvisorAssist provides custom services for advisory firms of all sizes and business models. Our clients include national RIAs with billions in assets to individual practitioners that are just starting an RIA.

Unlike many law firms and template shops, AdvisorAssist is not merely submitting a ” cookie-cutter ” registration to the Securities and Exchange Commission or the State Securities Regulators. Our mission is to help you design and launch a world-class business.

To achieve our mission, our expert consultants work closely with you to understand your business goals, target market and the unique aspects of your business model. Learn more about The AdvisorAssist Difference.

AdvisorAssist offers several target levels of service [as detailed below]. To learn more about our services, please visit these services below or request information via the contact form on this page.

RIA Registration Essentials™

The 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 solution that covers the core aspects of starting your RIA firm, including: business model consulting, SEC or State registration, customized compliance program, design of your client agreement(s), selection of your custodian, technology support, and training.

RIA Registration Advantage™

RIA Registration Advantage™ is designed to get your firm from concept to live with support and guidance every step of the way. This comprehensive approach is designed to cover all of the services included in RIA Registration Essentials as well as guidance on additional core aspects of launching your RIA firm including: business model planning, custodian selection, and technology support.

RIA Transitions Incubation™

Do your current obligations not permit you the time or ability to start your RIA firm?

Can’t afford to wait for months following your resignation while your new firm goes through the regulatory registration and approval process?

If these situations apply, our RIA Transitions Incubation™ may be the solution for you.

Our Series 65 professionals with extensive industry backgrounds can establish your new RIA firm for you. We’ll establish your advisory firm to your unique specifications while you wrap up your existing obligations. When you are ready, there will be a live, fully registered RIA ready for you to take over and begin serving clients.

SEC to State Transition

Ensure a seamless transition from SEC Registration to State Registration. Our experienced team has registered hundreds of firms with state regulators. We can assist with all aspects of the transition from filings to training of your team.