Registration Services

Service Description

We will help guide you through the initial state or SEC RIA registration by providing assistance with the following: Initial setup of the FINRA IARD/CRD account. Preparation, organization, and submittal of the various supplement documentation needed. Creation of the Form ADV Part 2A and Part 2B disclosure brochures. On-going consultations and communications with regulators during the registration application process. CCO Compliance Training after your RIA is approved. Development of the following standard compliance documents: • Written Supervisory Procedures • Privacy Policy Notice • Code of Ethics • Business Continuity Plan • Advisory Agreement • Electronic Compliance Calendar RIA registration projects can range from $3,500 to $10,000. A variety of factors are taken into consideration when determining pricing such as additional investment adviser representatives, additional state registration, etc. You will be responsible for funding your IARD E-Bill account for the initial registration fees.

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