Are you ready to become a Registered Investment Advisor or RIA? AdvisorLaw offers custom-tailored RIA registration and set up for new RIA firms.
- Are you looking to provide a more personalized experience for your clients?
- Are you fed up with the management of your broker-dealer and are looking to be your own boss?
- Has lack of ownership over your client relationships hindered your ability to create long-term value in your career?
If these issues are keeping you up at night, you may want to join the ranks of thousands of advisors, who are trading in their FINRA licensure to gain independence and control of their brand.
Creating your own RIA firm will give you the autonomy and flexibility to truly create the business value that you desire while doing what is best for your clients.
AdvisorLaw offers custom RIA setup and registration, as well as ongoing compliance services for registered investment advisor (RIA) firms. Our compliance teams include both attorneys and Certified Securities Compliance Professionals (CSCPs).
What will you need to set up your own Registered Investment Advisor (RIA) firm?
Our registration package takes your RIA firm from concept to fully-functioning business. We suggest a 60- to 90-day lead time to set up your RIA before your launch date. AdvisorLaw services include:
- articles of incorporation & entity registrations
- drafting & filings
— ADV 1A/B D
— ADV 2
— ADV 3/CRS
— IAPD/CRD registrations
- compliance manuals or policy & procedure manuals
- privacy policies
- client advisory agreements
- investment advisory agreements
- code of ethics
- review of emails, business cards, stationary, marketing materials, & websites
- conflicts of interest, outside business activities, & other
disclosures as needed
- cybersecurity policy
- business continuity plan
- AML procedures
- disclaimers or disclosures for websites & apps
Let's get started! If you'd like to become a registered investment advisor, please fill out the contact form below for a complimentary consultation: