RIA Registration & Setup
RIA Setup & Registration
AdvisorLaw offers custom-tailored set up 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.
AdvisorLaw offers custom 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:
- incorporation, including advice & business structure
- registration in primary & additional jurisdictions
- platform & custodial options
- IAPD & bank account setup
- management of IAR registration
- original drafting & review of all
- RIA documents including:
— Form ADV (all parts) & U4/U5 filings
— client advisory agreement
— solicitation agreements
— written supervisory procedures
— information security & cyber security policies
— code of ethics
— business continuity plan
— advertising, business cards, stationery, & websites
— conflicts of interest & outside business activity disclosures
Learn more about our services: