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Knowledge Base

RIA Registration Resources

RIA Registration Resources

Learn more about the process of becoming a registered investment adviser ("RIA").

RIA Registration Process

An Overview of General RIA Firm Registration Requirements

What steps should I take to start an RIA firm?

What documents do I need in order to register my RIA firm?

Should I register my new RIA firm with the state or the SEC?

What should I consider when transitioning from state to SEC registration?

How can I register as a hybrid RIA firm?

Common Exceptions That Allow an RIA Firm to Register with the SEC Rather than the State

Investment Advisor Representative Exam and Registration Requirements

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Investment Advisor Registration Requirements Directory

SEC Investment Advisor Registration Requirements

Investment Advisor Registration Requirements for Alabama

Investment Advisor Registration Requirements for Alaska

Investment Advisor Registration Requirements for Arizona

Investment Advisor Registration Requirements for Arkansas

Investment Advisor Registration Requirements for California

Investment Advisor Registration Requirements for Colorado

Investment Advisor Registration Requirements for Connecticut

Investment Advisor Registration Requirements for Delaware

Investment Advisor Registration Requirements for Florida

Investment Advisor Registration Requirements for Georgia

Investment Advisor Registration Requirements for Hawaii

Investment Advisor Registration Requirements for Idaho

Investment Advisor Registration Requirements for Illinois

Investment Advisor Registration Requirements for Indiana

Investment Advisor Registration Requirements for Iowa

Investment Advisor Registration Requirements for Kansas

Investment Advisor Registration Requirements for Kentucky

Investment Advisor Registration Requirements for Louisiana

Investment Advisor Registration Requirements for Maine

Investment Advisor Registration Requirements for Maryland

Investment Advisor Registration Requirements for Massachusetts

Investment Advisor Registration Requirements for Michigan

Investment Advisor Registration Requirements for Minnesota

Investment Advisor Registration Requirements for Mississippi

Investment Advisor Registration Requirements for Missouri

Investment Advisor Registration Requirements for Montana

Investment Advisor Registration Requirements for Nebraska

Investment Advisor Registration Requirements for Nevada

Investment Advisor Registration Requirements for New Hampshire

Investment Advisor Registration Requirements for New Jersey

Investment Advisor Registration Requirements for New Mexico

Investment Advisor Registration Requirements for New York

Investment Advisor Registration Requirements for North Carolina

Investment Advisor Registration Requirements for North Dakota

Investment Advisor Registration Requirements for Ohio

Investment Advisor Registration Requirements for Oklahoma

Investment Advisor Registration Requirements for Oregon

Investment Advisor Registration Requirements for Pennsylvania

Investment Advisor Registration Requirements for Rhode Island

Investment Advisor Registration Requirements for South Carolina

Investment Advisor Registration Requirements for South Dakota

Investment Advisor Registration Requirements for Tennessee

Investment Advisor Registration Requirements for Texas

Investment Advisor Registration Requirements for Utah

Investment Advisor Registration Requirements for Vermont

Investment Advisor Registration Requirements for Virginia

Investment Advisor Registration Requirements for Washington

Investment Advisor Registration Requirements for West Virginia

Investment Advisor Registration Requirements for Wisconsin

Investment Advisor Registration Requirements for Wyoming

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