Registration Guidance

Starting a new business can feel like a daunting task. Our experienced professionals will provide you the guidance and solutions necessary to meet your goal of registering your investment advisory firm.

To understand the requirements of establishing an RIA firm, we invite you to review our General Registration and Ongoing Compliance Requirements and FAQ pages.

Advisor Guidance offers a completely turnkey solution for new advisors that includes the following registration services:

Preparatory Phase:

  • Initial business consultation
  • Preparation of Entitlement forms for you to access the IARD/CRD systems
  • Conference call with you to discuss your plans for your new business
  • Preparation of Form ADV Part 1A and 1B
  • Preparation of Form ADV Part 2A and 2B plain English Brochure and Brochure Supplement
  • Preparation of Wrap Fee Brochures
  • Assistance with the registration funding requirements for your Flex Funding Account at FINRA
  • Preparation of Form U-4 (Uniform Application for Securities Industry Registration or Transfer) for your Investment Advisory Representatives
  • Preparation of Form U-10 (Uniform Examination Request for non-FINRA Candidates) to assist you with scheduling your licensing examination
  • Preparation of an Investment Advisory Agreement
  • Preparation of a Financial Planning Agreement
  • Preparation of a Consulting Agreement
  • Preparation of an Investment Policy Statement
  • Preparation of Solicitor’s Disclosure Documents
  • Consulting with you to confirm the content of these documents prior to filing
  • Research and Preparation of the applicable state and federal filing requirements

Filing Phase:

  • Filing your registration with the applicable regulators, and responding to the regulators’ comments through to approval of your firm.

Compliance Phase:

  • Preparation of a Compliance Program including: Preparation of a Business Continuity Plan
  • Written Supervisory Procedures, Code of Ethics, Privacy Policy, Massachusetts Identity Theft Program
  • Post firm approval, we will provide you with a list of ongoing compliance requirements for your new advisory firm.

For more information on our registration services, please contact us or fill out the form to the right and one of our principals will call you.