SEC To State Transition

RIA In A Box is a unique consulting firm that provides you with all the tools you’ll need to register at the state level now that most SEC registered RIAs with less than $90 million in assets under management must begin the transition from SEC registration to the applicable state jurisdiction(s) by March 30, 2012. Every state has its own unique requirements, only RIA In A Box tailors a program to take you through the entire process and creates documents that are specific to your new jurisdiction(s). We’ve completed more state-level RIA registrations than anyone since 2005; don’t leave this important process to anyone but the experts.

Limited Transition Package $1,545.00 We Submit Your Existing Docs On Your Behalf Submit your existing ADV Parts 1 and 2 Prepare a cover letter to your home state Act as liaison between state and your RIA Does NOT include changes to your ADVs or contracts State specific Policies and Procedures Manual State specific Compliance Officer Training Manual Each additional state (after home state) — $500

Full Registration Transition Package $1,885.00 We Update Everything to State Specific Rules Create new state specific ADV Parts 1 and 2 Prepare advisory agreements specific to your state(s) Act as liaison between state and your RIA Prepare a cover letter to your home state State specific Policies and Procedures Manual State specific Compliance Officer Training Manual Each additional state (after home state) — $500

State/SEC fees, FINRA fees, and exam fees are not included in the prices above and will go directly to the agencies.

RIA IN A BOX accepts VISA, Mastercard, Discover, and American Express