RIA Registration and Compliance Consulting
Advisor Guidance is a registration and compliance consulting 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.
The RIA Registration and Compliance Consulting Services You Need
From startup to scale-up, we’re here to provide your RIA firm the support services you need to launch, grow and comply with today’s ever-changing regulatory landscape.
Receive the personal support and guidance you need to set up your RIA Firm with confidence.
Learn how Advisor Guidance helps RIAs manage their regulatory compliance requirements.
Help your firm improve operational efficiency with Advisor Guidance’s RIA Consulting services.
Learn more >
Experience You Can Count On
The Advisor Guidance team is comprised of investment industry professionals who’ve held senior management positions at some of the most respected financial institutions in the country.
Our clients range from boutique wealth managers to institutional investment advisors, mutual funds, broker/dealers and service providers to the industry. Over the years, we’ve worked alongside hundreds of RIAs to develop systems that help streamline the registration and annual renewal and go-to market process.
” The staff at Advisor Guidance thoughtfully guided me through every step of the process required to become a fiduciary. John understands the nuances of the advisory business in a way that few others do. I couldn’t have done it without him, in fact I wouldn’t even have come close! ”
A Compliance-First Company
Whether you’re looking to register your advisory firm, update your annual brochure, or launch a new marketing campaign, the team at Advisor Guidance understands the language of compliance and work tirelessly to ensure your RIA firm remains compliant with state and SEC regulations including, but not limited to, the Investment Advisers Act of 1940 which was created under the Securities Exchange Act of 1934.