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.
Registration
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Registration
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| RIA Business Overview Consultation. Review planned business model and answer related questions on registration and compliance. |  |
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| 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. | |
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| Filing Entitlements. Obtain access rights for the IARD and CRD systems managed by FINRA. | |
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| ADV Filing. Draft and file Form ADV Part 1A and Part 1B (for State Registrants). Unlimited changes to ADV filing for 1 Year. | |
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| Form ADV 2A – Plain English. Draft and file Form ADV Part 2A – Disclosure Brochure in a customized and advisor branded format. | |
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| State Requirements. Prepare state specific requirements for primary state, as applicable. | |
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| Liaison to Regulators. Responding to regulatory inquiries and manage and questions or comments to ensure timely registration. | |
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| 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. | |
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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. | |
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| Code of Ethics. Customized Code of Ethics defining your firms personal trading, gifts and conflict of interest policies. | |
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| Business Continuity Plan. Review Advisor technology decisions, document management and contingency planning. | |
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| Customized Client Advisory Contracts. Separate custom contracts to match your offerings, including Investment Management and Financial Planning services, as applicable. | |
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| 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. | |
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Optional Services: |
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| Additional State Jurisdictions. Firms and advisory persons that conduct business in more than 1 state. | Additional Fees Apply |
Additional Fees Apply |
| 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. |
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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.