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:
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:
Core Supervisory Procedures
References to applicable rules
Customized by firm and jurisdiction
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.
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.