RIA registration

Call +1 (866) 611-7638 to learn more about the registration process and how our team of experts can help.

• Broker-dealer breakaways – Those who were previously affiliated with a wirehouse or independent broker-dealer and are breakaway to establish a fee-only RIA firm or to start a hybrid firm by maintaining an affiliation with an independent broker-dealer.
• Financial planners – Advisers looking to provide financial planning services and who may or may not also provide in-house or outsourced investment advisory services. 
• Independents advisers – Advisers already serving as a fiduciary with an RIA firm who are seeking more independence by establishing their own RIA firm.
• Internet only robo advisers - Firms looking to provide automated online investment advice. 
• Investment managers – Firm or portfolio managers looking to provide investment management services to individuals or institutions such as other RIA firms.
• Private fund managers – Private equity, hedge fund, venture capital or other alternative fund managers who need to register as an RIA or exempt reporting adviser (ERA).

• Access MyRIACompliance to track your registration progress 24/7.
• Free three months of unlimited Form ADV changes.
• Technology systems consultation with an expert.
• Post-registration consultation with a compliance expert included with ongoing compliance package.