RIA Services

 

AdvisorLaw offers custom-tailored setup and registration 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.


Setup

What will you need to set up your own Registered Investment Advisor (RIA) firm?

AdvisorLaw provides turnkey registration and setup for those looking to establish their own, state or SEC-registered RIA's. 

  • Entity incorporation
  • Platform and custodial options - even for those with disciplinary disclosures
  • Drafting of RIA documents, including:
    • Entity incorporation
    • Written supervisory procedures
    • Privacy policy
    • Client advisory agreement
    • ADV (all parts) and Form U4
    • Compliance manual
    • Information security policy
    • Code of ethics
  • Filing in primary and additional jurisdictions
  • Management of IAR registration
  • CFTC Registration for options, commodities, derivatives, etc.
  • Creation of a business continuity plan (contingency plan)
  • Succession planning
RIA COMPLIANCE

We can help. Learn how.


Contact us to discuss RIA Services.

The consultation is free, and our services were created exclusively for financial advisors
(303) 952-4025