The Registration
Guidance
Investment Advisors Rely On.
Our high-touch, practical approach to helping investment advisors launch, grow, and protect their RIA firms with confidence has been the backbone of our success for two decades.
By providing tailored, pay-for-exactly-what-you-need solutions, our clients are able to focus on what matters most to them – taking care of their clients.
Move Forward 
With Confidence
Registration
Guidance
Our turnkey registration process is the easiest way to get your new RIA set up with the appropriate regulator(s).
Compliance
Guidance
Our common sense approach to compliance allows RIAs to protect themselves without breaking the bank.
Brand
Guidance
Our customized brand and website development services ensure your RIA stands out and gets noticed.
The RIA Registration, Compliance and Brand Building Support You Deserve.
When John Shields founded Advisor Guidance in 2006, he wanted to create a registration and compliance firm that resembled the client-focused model he’d come to appreciate over his 30+ years of working in the investment industry.
Through John’s vision, Advisor Guidance has established itself as a top registration, compliance, and brand development firm in the country.
"In today's world, where service is marginal at best, Advisor Guidance give us hope that there are still companies and people that will go the extra mile."
How Can We Help
Your RIA Firm?
For more than two decades, we’ve helped investment advisors get the support they need to launch, grow, and maintain compliance with the ever-changing regulatory landscape.
Stop Searching. Get Registered.
If you want to get your RIA firm registered correctly with the the appropriate regulators in the shortest time possible, then you should partner with us.
Since 2006, our turnkey registration service has helped hundreds of new RIA firms eliminate the guesswork associated with setting up a compliant-focused advisory firm with state regulators and the Securities and Exchange Commission (SEC).
All you need are the appropriate credentials and a legal entity formed, and we’ll do the rest.
Common Sense Compliance Support
Many compliance lawyers and software providers box RIA firms into costly monthly subscription agreements, exorbitant hourly rates, and force RIAs to pay for services that don’t match the needs of the firm.
That’s not how we’re built. Our approach to helping you maintain your ongoing compliance requirements focuses on providing you with support you need, when you need it, at a fee that makes sense.
Annual ADV Updates Made Easy
SEC and state-registered investment advisers are required to renew their registrations and amend Form ADV every year by filing an annual amendment within 90 days after the end of their fiscal year.
Since 2006, we have assisted with thousands of renewals and annual updating amendments. We take the time to review individual registrations in Form U4 and the firm’s compliance program documents to ensure your RIA is up to date.
Mock Examinations: Proactive Compliance Planning
Regulatory examinations are unpredictable. Fortunately, we have the experience to be your partner and liaison during an SEC or state regulatory examination. The key is to be prepared, and we ensure readiness through our mock examination process.
Our mock examinations are conducted with the same level of detail and similar processes as you will find with an SEC or state examination team. This way, you will be prepared mentally and have books and records ready when regulators come knocking.
Maximizing Your Firm's Greatest Asset
Your brand is your firm’s most valuable asset, but developing a powerful brand is challenging for busy RIA firms. With client management, compliance, and business development competing for attention, many advisors struggle with positioning and messaging. The result is inconsistent, diluted brands that fail to stand out from competitors.
Our brand design services solve these challenges by creating a clear, compelling brand strategy that attracts ideal clients and delivers measurable growth while you focus on serving clients.
Turn Your RIA Into a Digital Destination
For RIA firms, a website is more than an online brochure—it’s the central hub where your brand, services, and client experience come together. A strong digital destination draws prospects in, engages existing clients, and positions your firm as a trusted, forward-thinking partner.
We create modern, mobile-first sites with responsive design and compliance-friendly copy that seamlessly integrate with custodians like Schwab and Altruist, and platforms like Wealthbox and Redtail CRM. The result is a polished, high-functioning platform that works as hard for your business as you do for your clients.