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Download Our Checklist: RIA State to SEC Registration Transition Checklist

In this checklist, we highlight some of the differences between state and SEC regulations as well as some filing requirements to which your firm may now find itself subject to. We also discuss some common issues that lead to confusion including when a firm is required to versus when it may decide to transition from state to SEC registration.

Our complimentary checklist outlines 10 tips on transitioning from the state to SEC registration.  Some of the tips and considerations include: 

  • Ensuring proper notice filing in all relevant states
  • Making sure all individual investment adviser representatives are properly registered
  • SEC EDGAR Filings such as the Form 13F
  • Reviewing all relevant regulatory requirements including Rule 206(4)-7

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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.