Starting a new business can be both exciting and feel overwhelming at the same time. Let our hands-on experience and industry knowledge lead you to a simple and straightforward solution to achieve your goal of timely registering your new investment advisory firm.
To understand the requirements of establishing an RIA firm, we invite you to review our General Registration and Ongoing Compliance Requirements and FAQ pages.
Registered Advisor Services offers a solution for new advisors that includes the following registration services and documents:
- Initial business consultation
- Preparation of Entitlement forms for you to access the IARD/CRD systems
- Conference call with you to discuss your plans for your new business
- Preparation of Form ADV Part 1A and 1B
- Preparation of ADV 2A plain English Brochure and ADV 2B Supplemental Brochure
- Preparation of Wrap Fee Brochure (as applicable)
- Assistance with the registration funding requirements for your Daily Account at FINRA
- Preparation of Form U-4 (Uniform Application for Securities Industry Registration or Transfer) for your Investment Advisory Representatives
- Preparation of Form U-10 (Uniform Examination Request for non-FINRA Candidates) to assist you with scheduling your licensing examination
- Preparation of an Investment Advisory Agreement
- Preparation of a Financial Planning Agreement
- Preparation of a Consulting Agreement
- Preparation of an Investment Policy Statement
- Preparation of Solicitor’s Disclosure Documents
- Consulting with you to confirm the content of these documents prior to filing
- Research and Preparation of the applicable state and federal filing requirements
- Filing your registration with the applicable regulators, and responding to the regulators’ comments through to approval of your firm.
- Preparation of a Compliance Program including:
- Preparation of a Business Continuity Plan
- Post firm approval, we will provide you with a list of ongoing compliance requirements for your new advisory firm.
For more information on our registration services, please contact us or fill out the adjacent form and we will call you to review your new business plans.