Investment Advisor State Registration Requirements Directory

 


Over 3,000 investment advisors have trusted RIA in a Box as their registration compliance consultants and our mission is to enable fellow entrepreneurs to establish their own RIA firms and remain in constant compliance with regulatory guidelines. RIA in a Box is the fastest, most efficient way to set up your advisory firm in the state of your choosing and we also offer on-going monthly compliance services packages beginning at $210 per month. We are staffed by ex-state regulators and believe we offer incredible value that can’t be matched.

*All registered investment advisors located in Wyoming must register with the SEC regardless of assets under management.

Note: RIA in a Box LLC is not a law firm, investment advisory firm, or a CPA firm. RIA in a Box LLC does not provide legal advice or opinions to any party or client. You should always consult your relevant regulatory authorities as this information should not be relied upon as currently accurate. This information is provided for educational purposes only and is not an exhaustive list of regulatory requirements.