You found the right firm! RIA registration consultant, Registered Advisor Services offers experienced registration consulting services to help you navigate the state or federal regulations for your new investment advisory firm. With over 10 years’ experience working with both state and federal regulators we can help guide you through the process in a timely and efficient manner. Briefly, the process is this.
⇒First, you need to form the entity under which you will operate your new advisory business. We can answer your questions about any state or federal regulatory requirements.
⇒Next, we prepare the entitlement paperwork to entitle you to the FINRA computer systems needed for the registration process.
⇒After we have a business consultation about how you want to operate your new registered investment advisory firm, we will prepare for you the following documents:
- Customized Form ADV Part 1,
- Form ADV Part 2A Brochure,
- Form ADV Part 2B Brochure Supplement,
- Investment Advisory Agreement and/or Financial and Consulting Agreements customized to how your firm will operate,
- Investment Policy Statement,
- Customized Written Policies and Procedures Manual,
- Form U4, and
- Any state specific forms needed if you are pursuing state registration for your firm.
⇒After your review and approval of these forms, we will submit them for you with the appropriate regulator for their review and comment. We will be your liaison with the regulator responding to any questions they may have concerning your registration application, until your firm is ultimately state or federal registered and ready to operate.
⇒When our turnkey registration process is completed, we will provide you with a detailed letter outlining your future RIA compliance requirements for your newly registered investment advisory firm as well as provide you with RIA compliance resources to help with either the state or federal regulatory compliance requirements.
Call us today (603) 292-6772 or send an email to [email protected] for more information!