Turnkey RIA Registration 
Services
The Easiest Way to
Register Your RIA Firm
Starting a Registered Investment Advisor (RIA) firm offers a variety of benefits to those who want to embrace their independence. However, many investment advisors quickly find themselves overwhelmed by the long list of requirements they need to address to create an RIA firm.
We know just how intimidating it can be to start a new company. We also know that most investment advisors would rather spend their time building their new firm than getting bogged down in a sea of rules and regulations.
Since 2006, hundreds of small to midsize RIAs have relied on us to manage every step of the registration process for them. Through our turnkey RIA registration process, we draft and file all your required documents, communicate directly with the appropriate regulators on your behalf, and provide everything you need from a compliance perspective to get your firm up and running with confidence.
So, if getting your firm registered the right way, in the shortest period of time matters, we should talk.
Common RIA Registration Questions
What does it mean to start an RIA firm?
Starting an RIA means forming an independent investment advisory business that provides advice directly to clients under a fiduciary standard and regulatory oversight.
This includes:
- Forming a legal entity
- Filing Form ADV with regulators
- Building compliance policies and procedures
- Defining services, fees, and client agreements
- Establishing custodial and operational relationships
Learn the full process → Top 10 Questions About RIA Registration
What credentials do I need to start an RIA?
An advisor typically qualifies by passing the Series 65 exam or holding an approved professional designation that waives the exam requirement.
Common qualifying credentials:
- Series 65
- Series 7 + Series 66
- CFP®, CFA®, ChFC®, PFS, CIC
- Certain states may accept CAIA/CAIC equivalents
See qualification details by state → Top 10 Questions About RIA Registration
Should I register with the SEC or a state regulator?
Registration eligibility is determined by assets under management and business structure — not preference.
General thresholds:
- SEC registration: usually ≥ $100M AUM or multi-state presence
- State registration: typically below $100M AUM
Projected growth and client geography may also affect eligibility.
Determine your required regulator → Top 10 Questions About RIA Registration
How long does it take to get an RIA approved?
Approval timelines depend on the reviewing regulator after a complete filing is submitted.
Typical review periods:
- SEC: about 4 weeks
- State regulators: approximately 4–16 weeks
Most delays occur from unclear disclosures or regulator workload backlogs.
View the full timeline → Top 10 Questions About RIA Registration
Can I start an RIA while working at a broker-dealer?
You can prepare and structure the firm while employed, but operations and client servicing generally begin after departure.
Before proceeding:
- Review employment restrictions
- Do not use firm data or resources
- Maintain confidentiality
- Complete filings correctly
See transition precautions → Top 10 Questions About RIA Registration
Have A Question About Registering Your RIA?
Check Out >> Top 10 Questions About RIA Registration
Our Turnkey Registration Services
Start Your RIA Firm with Confidence.
Whether you’re required to register with the SEC or state, our comprehensive, turnkey registration process helps you remove the guesswork and stress associated with starting your RIA firm.
Onboarding & Discovery
During the onboarding and discovery phase, your dedicated registration and compliance lead will take the time to gain a comprehensive understanding of your RIA firm’s business model and walk you through the FINRA Entitlement process.
Key Actions & Outcomes
- Initial business consultation and discovery call
- Preparation of Entitlement forms for you to gain access to the IARD/CRD systems
- Assistance with the funding requirements for your Flex Funding Account in FINRA’s E-Bill system
- Confirmation of applicable federal/state filing requirements
- Collect all applicable legal entity documents
Drafting & Filing Registration
After you’ve completed your onboarding and discovery call, our registration and compliance team will draft and file the proper registration documents on your firm’s behalf.
Key Actions & Outcomes
- Confirmation of intended business model of your RIA firm
- Draft, review, and file Form ADV Part 1
- Draft, review, and file Form ADV Part 2A and 2B plain English Brochure and Brochure Supplement
- If required, draft, review, and file Form ADV Part 3 Customer Relationship Summary
- If necessary, draft, review, and file Form ADV Part 2A Appendix Wrap Fee Brochure
- Draft, review, and file Form U-4 (Uniform Application for Securities Industry Registration or Transfer) for each Investment Advisor Representative
- On your behalf, liaise directly with SEC and state securities regulatory agencies
- If required, participate in discussions with your counterparts, including attorneys, accountants, or insurance carriers, to ensure consistency and understanding
Customizing Compliance Program
Once we’ve filed your registration, your dedicated registration and compliance lead will draft a customized compliance program for your firm. Out team will have your compliance program ready to go before you get approved so you can start working with clients the day your firm is approved.
Key Actions & Outcomes
- Draft and review all applicable Client Investment Advisory Agreements
- If requested, provide Investment Policy Statement/Investor Questionnaire
- If required, provide Solicitor/Promoter Agreement and Disclosure Documents
- Prepare written Compliance Program documents, tailored to firm’s business model, including:
- Written Supervisory Procedures
- Code of Ethics
- Privacy Policy
- If applicable, Massachusetts Identity Theft Program
- Cybersecurity Policy
- Proxy Voting Policy If applicable, ERISA DOL PTE 2020-02 documents
- Draft Disaster Recovery and Business Continuity Plan
Firm Approval & Launch
Once your firm is approved, you will have all the necessary compliance documents in place, including the final version of your Client Investment Advisory Agreement, so you can start onboarding clients to your firm.
Key Actions & Outcomes
- Finalize all Compliance Program documents and Client Investment Advisory Agreements
- We will provide you with a list of ongoing compliance requirements for your new RIA firm
- Further discussions and assistance as necessary as you begin to grow your new RIA firm
- You can elect to use Advisor Guidance for ongoing compliance support.
Check Out Your State's
Registration Requirements
An Introduction to the
RIA Registration Process
Starting an RIA Firm?
If you’re thinking about starting an RIA firm we’d encourage you to check out our Ultimate Checklist for Starting an RIA to help you set your firm up for success.
