10 Steps to Start an RIA Firm

Considering starting your own registered investment adviser ("RIA") firm? Download our top 10 tips.

Are you unsure about the steps needed to create your own RIA firm? Our free checklist compiled by our industry and compliance experts highlights the most crucial items to consider when setting up your investment advisory firm.

This complimentary checklist outlines 10 steps to helps address the following questions and many more:

  • What should be part of the firm's business plan?
  • What types of technology systems should be considered?
  • What are some of the key components of a new firm's compliance program?
  • What types of business insurance should be explored?

We've helped set up over 2,000 new RIA firms. Please feel free to contact us for a free consultation.

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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.