Advisor Guidance is a registration, compliance, and brand development firm that supports independent registered investment advisors (RIAs). Our turnkey registration services help new RIAs start a firm that complies with appropriate state and Securities and Exchange Commission (SEC) requirements. For existing RIAs, our ongoing compliance services ensure that your firm continues to operate in good standing.
Since 2006 we’ve helped hundreds of RIA firms address their regulatory compliance challenges with confidence. By eliminating their compliance concerns, our clients can focus on what matters most to them – supporting the needs of their clients.