Our Services

AdvisorAssist provides customized solutions for independent RIA’s and boutique asset managers. Our sole objective is to help our clients build, grow, protect and optimize their practices.

We guide world-class advisory firms throughout their life cycle, including business model strategy, firm registration, transition management, and ongoing compliance support and risk management.

How We Can Help.

Starting an RIA?

We will guide you every step of the way in launching your new RIA firm. Leverage our decades of experience to get your new firm established quickly and correctly.

Need a private transition?

Does your current employment situation require a private registration? We can create your new RIA firm while you continue to serve your clients and plan for your launch.

Compliance Support?

Stay ahead of the regulatory curve. We provide comprehensive compliance support programs to guide and support your firm through the maze of regulatory requirements.

Ready for an Audit?

Are you prepared? Our on-site or remote mock examination services take comprehensive review of your RIA firm to help ensure that you are fully prepared for an SEC or State audit.

Why Choose Us?

Real-World Experience

We bring real-world entrepreneurial experience to our client relationships and provide guidance from initial setup to ongoing strategic, operational and regulatory support. Our appreciation for the “business of our business” comes from our years of experience in establishing and running investment advisory businesses. Our Principals have held leadership positions on the front lines of every functional area of the investment firm.

Breadth of Expertise

We bring a deep understanding of the intricacies among numerous distribution channels and technical expertise within all asset classes and investment strategies. While we are proud of the breadth of our expertise, we believe that the most valuable asset we offer is an understanding of the interconnectedness across the functional areas within the advisory firm. This key point serves as the foundation for our integrated approach. (Learn More)

Comprehensive Support

We take a different approach.

We do not force a cookie-cutter compliance blueprint on you. We leverage our expertise and proprietary tools to deliver targeted support to your firm. To effectively manage risk, we must truly know your firm. Through our proprietary technology and proactive compliance sessions, we design and implement a risk management framework that is specific to your business.