RIA Firm Registration


New RIA firm registration in the USA


Advising & Registering New RIA Firms

Starting a new RIA business can be both exciting and overwhelming. Our hands-on experience and industry expertise can lead your firm through the registration process simply and efficiently. We will guide you to timely registration.

Registering with the Securities and Exchange Commission (SEC)

Whether you are registering with the SEC or with individual state regulators, our team will work one-on-one with you to understand how you intend to operate your new RIA firm from the day you become registered. We provide you with all the necessary advisory documents to hit the ground running on the day you become registered.

  • State registration services for RIA and independent advising firms
  • Federal registration services for RIA and independent advising firms
  • Hybrid and turnkey investment advisor registration services

State & Federal Registration with the SEC

Preparatory Phase:

  • Initial RIA business consultation
  • Entitlement forms for access to the IARD/CRD systems
  • Form ADV Part 1A and 1B
  • ADV 2A plain English Brochure and ADV 2B Supplemental Brochure
  • Wrap Fee Brochure (as applicable)
  • Assistance with funding requirements for Flex Funding Account at FINRA
  • Form U-4 (Uniform Application for Securities Industry Registration or Transfer) for Investment Advisory Representatives
  • Form U-10 (Uniform Examination Request for non-FINRA Candidates) to assist with scheduling a licensing examination
  • Investment Advisory Agreement
  • Financial Planning Agreement
  • Consulting Agreement
  • Investment Policy Statement
  • Solicitor’s Disclosure Documents
  • Consulting to confirm the content of all documents prior to filing
  • Research and preparation of applicable state and federal filing requirements

Investment Advisor Registration Forms

Filing Phase:

  • Filing of registration with the applicable regulators
  • Responding to regulators’ comments
  • Navigating the process until the approval of your firm

Compliance Phase:

  • Written Supervisory Procedures
  • Code of Ethics
  • Privacy Policy
  • Massachusetts Identity Theft Program
  • Cybersecurity Policy
  • Social Media Policy
  • Business Continuity Plan
  • Post-firm approval, we will provide a list of ongoing compliance requirements for your advisory firm

For more information on our Registration Services, please contact us or fill out the form and we will contact you to review your new business plans. Visit our FAQ page for additional information.