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
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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). | |
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. Assistance with 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:
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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. | |
Advertising Review. Review of advisor advertising materials and/or disclosure development for planned advertising materials. | Website & Firm Presentation |
CCO Training. Complete training on compliance responsibilities, workflow and best practices for your Chief Compliance Officer. | |
Newsletter and Email Alerts. Access to Advisor InSights™ newsletter and periodic email updates on relevant RIA topics. | |
Optional Services: |
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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 |
* 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 (617) 800-0388, Option 1 or click here to discuss your specific situation and obtain pricing for complex situations. We customize our services to meet the unique needs of your firm.