Which RIA Registration Service Is Right For You?

AdvisorAssist tailors its RIA Registration Services to meet the unique needs of each advisory firm and each situation. Unlike the the big-box compliance firms, we do not deliver a one-size-fits-all RIA structure. Our services and delivery approach are designed to help you focus on the most important part of building or transitioning your business – YOUR CLIENTS. AdvisorAssist will deliver the rest and get you off to a solid start.

We offer two suggested service offerings: RIA Registration Essentials™ and RIA Registration Advantage™ (details below). Of course, we are happy to develop a custom proposal for you as well.



RIA Business Overview Consultation. Review planned business model and answer related questions on registration and compliance.
RIA Business Model Planning. Evaluate business model options, including services, investments and outsourcing solutions.
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 and questions or comments to ensure timely registration.
Form ADV2B. Draft Form ADV2B – Brochure Supplement for Investment Advisor Representatives (“IARs”). Up to 2 IARs* Up to 5 IARs*
Form U-4. Draft and file Form U-4 for each Investment Advisor Representative. Up to 2 IARs* Up to 5 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:

  • Core Supervisory Procedures
  • Trading Practices
  • 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.
Investment Policy. Develop Investment Policy Statement and Client Suitability Tools and provide client engagement training.
Custodian Selection. Guidance and support in selecting the “Best-Fit” Custodian(s) for your firm.
Advertising Review. Review advisor advertising materials prepared during the engagement period. Develop disclosures for planned advertising materials.
Social Media Policy. Develop a social media playbook for your firm and advisory persons that includes: policies and procedures, attestations, “rules of the road” and more.
CCO Training. Complete training on compliance responsibilities, workflow and best practices for your Chief Compliance Officer and staff. CCO CCO and 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
Additional Fees
Ongoing Compliance and Regulatory Support. AdvisorAssist is here to support you after initial start-up. View Compliance Services 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.