RIA Registration

The RIA registration process can be a complicated network of paperwork that is difficult to navigate on your own. Our expert advisers here at RIA Compliance Concepts know this paperwork like the back of their hands, and they can quickly and accurately get you through this process.

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Our RIA registration services take a holistic approach to registration. We handle every aspect of your registration and make sure that all of your documents are properly submitted.

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Handling your paperwork is second nature for us. When you start your RIA registration process, you need to make sure that every form is accurately handled and submitted. In addition to this, having all of the necessary accounts set up is another vital aspect of your registration.

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A slight misstep at this crucial point in your journey can cause real trouble down the road. Here is how our expert advisers walk you through your registration:

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Paperwork and Forms

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We will help you with your initial FINRA IARD/CRD account, as well as all the supplemental documents that go with that account.

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Our experts can also prepare your Form ADV Part 2A and Part 2B disclosure brochures in addition to other documentation.

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We will work with you to develop the following compliance and regulatory documents:

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• Written Supervisory Procedures

• Privacy Policy Notice

• Code of Ethics

• Business Continuity Plan

• Advisory Agreement

• Electronic Compliance Calendar

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Consultation

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Our experts will consult with regulators during this process. We will also keep an open line of communication with you to ensure that the process is handled smoothly and accurately.

 

Compliance Training

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After your RIA is approved, we will walk you through CCO Compliance Training. 

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Reach out to RIA Compliance Concepts today to learn more about our pricing and availability. We look forward to ensuring that your future is protected.