RIA Registration Support

MyRIARegistration-WHite-Horz-426by75

 

Over 4,000 advisors have trusted RIA in a Box® as their registration compliance consultants. Our staff of industry professionals and former regulators guides you through the entire registration and business planning process and creates customized documents specific to your situation in a timely and cost efficient manner.

Some of the types of advisors we help navigate through the RIA registration process include:

RIA in a Box RIA Registration Broker Dealer Breakaway

Broker Dealer Breakaway

 

Broker Dealer Breakaway

We assist advisors affiliated with a wirehouse or independent broker dealer to establish a fee-only RIA firm or to start a hybrid firm by maintaining an affiliation with an independent broker dealer.

RIA in a Box RIA Registration Leaving an RIA Firm

Leaving an RIA Firm

 

Leaving an RIA Firm

We assist advisors already serving as a fiduciary with an RIA firm who are seeking more independence by establishing their own RIA firm.

RIA in a Box RIA Registration Financial Planners

Financial Planners

 

Financial Planners

We assist advisors looking to provide financial planning services that may or may not also provide in-house or outsourced investment advisory services.

RIA in a Box RIA Registration Investment Manager

Investment Manager

 

Investment Manager

We assist firms or portfolio managers looking to provide investment management services to individuals or institutions such as other RIA firms.

RIA in a Box RIA Registration Private Fund Manager

Private Fund Manager

 

Private Fund Manager

We assist private equity, hedge fund, venture capital, or other alternative fund managers that need to register as an RIA or exempt reporting adviser (ERA).

RIA in a Box RIA Registration Internet-Only Robo Advisor

Internet-Only Robo Advisor

 

Internet-Only Robo Advisor

We assist firms looking to provide automated online investment advice.

Our pricing varies based on state or federal registration:


Register a New State RIA 

$4,000

Register a New SEC RIA 

$6,000
Lower your registration cost when you pair your registration with our MyRIACompliance-Logo monthly compliance service.

 

State Registration with*
Standard Advanced Premium
$3,500 $3,000 $2,500
       
SEC Registration with*
Standard Advanced Premium
$5,500 $4,500 $4,000
*Available with a 12 month MyRIACompliance® service agreement. Learn more about MyRIACompliance®.
 

 What's included with your RIA registration package:

 

Work directly with industry experts and former regulators to guide you through the registration process


Access to MyRIACompliance® to track your registration progress 24/7


Free 3 months of unlimited Form ADV changes


Post-registration consultation with a compliance expert


Technology systems consultation with an expert

Included Documents

 

Registration Filings

Additional fees apply for the registration of additional individual representatives ($400 per) and registering the firm in additional jurisdictions ($800 per).
State/SEC filing fees, FINRA filing fees, and exam fees are not included in the prices above and go directly to the agencies.

Tailored Documents

 
Adding Additional States:
While the description of your firm’s services and fees should remain constant across the jurisdictions (states) in which the firm is applying, different jurisdictions can have vastly different disclosure requirements. RIA in a Box® will guide you through this process, creating and amending documents to ensure they are in compliance across all state jurisdictions.

A registered investment adviser must generally register in any state in which it has a physical location, a representative physically located, has more than 5 clients (or just 1 client in regards to Texas and Louisiana), or is actively soliciting in the state. 
 
Adding Additional Representatives:
All individual representatives of your firm need to be registered to the RIA if they are providing or generating advice. In general, all executive officers or people who have control of the RIA should also be registered to the firm. Registration includes filing a Form U4, ensuring the testing requirements or testing exemptions are satisfied, creating a Form ADV Part 2B brochure supplement and, in most cases, uploading that the Form ADV Part 2B to FINRA’s WebCRD system.