Download Our State to SEC RIA Registration Transition Infographic

Learn more about the State to SEC registration requirements and transition process 

In this visual guide, we highlight some of the different qualifications for an RIA firm to transition to register with the Securities and Exchange Commission ("SEC") as well as some filing requirements to which an SEC-registered RIA firm may now find itself subject to. We also discuss a few of the steps that need to be taken when going through the transition process. 

This complementary and informative infographic contains: 

  • What qualifies a state-registered firm to transition to SEC registration
  • Relevant individual registration and RIA regulatory requirements for firms wanting to transition to SEC registration
  • An overview of the transition process 

Contact us for further assistance with the transition process. 

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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.