While there are some exceptions, in general, investment advisors with less than $100 million in assets under management (AUM) that are located in Mississippi, have more than 5 clients in Mississippi, or actively solicit in Mississippi must register with the State of Mississippi as a Registered Investment Advisor (RIA).
2016 Total | 2016 State Rank | |
Number of RIAs | 63 | 43 |
Population | 2,988,726 | 32 |
RIA Population Density (residents per RIA) | 47,440 | 49 |
RIA Geographic Density (sq. land miles per RIA) | 745 | 42 |
Note: RIA firm data courtesy of Meridian-IQ and includes both SEC and state-registered investment advisory firms that are based in Mississippi as of July 2016. Population and geographic data is courtesy of the United States Census Bureau as of the 2010 Census.
Investment Advisor Registration Financial Statement Requirements:
Investment Advisor Representative (IAR) Registration Requirements:
General Firm Registration Requirements
Over 3,500 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 Mississippi and we also offer on-going monthly compliance services packages beginning at $250 per month. We are staffed by ex-state regulators and believe we offer incredible value that can’t be matched. Check out the RIA in a Box Mississippi Investment Advisor Registration Box Package |
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.
Over 3,500 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 and we also offer on-going monthly compliance services packages beginning at $250 per month. We are staffed by ex-state regulators and believe we offer incredible value that can’t be matched. Check out the RIA in a Box Investment Advisor Registration Box Package. |
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.