RIA registration

Navigate the RIA registration process with ease. Leverage our team of registration compliance consultants to guide you through the entire process and work with you to create customized documents and business planning materials to set you up for success.   

Ready to register? Call +1 (866) 611-7638 

Our registration solution provides firms with:

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Expert guidance through the registration process

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Access to MyRIACompliance to track your registration progress 24/7

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Free three months of unlimited Form ADV changes

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Post-registration consultation with a compliance expert

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Technology systems consultation with an expert

Register as a state or SEC RIA

RIA registration

Don’t take our word for it

Compliance technology designed specifically for RIAs

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Our powerful integration capabilities facilitate data connections between MyRIACompliance and other industry-leading solutions, enhancing communications, increasing efficiency and providing a seamless customer experience.
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Industry partners

With best-in-class industry partners, we are streamlining processes and increasing accuracy for registered investment advisers and their firms.
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Superior user experience

Built on a mobile-first architecture, our platform provides a frictionless experience for you and your employees, making compliance easy and painless.
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Platform innovation

Incorporating direct feedback from COMPLY’s portfolio of firms, we continuously implement the enhancements that matter most to our clients.
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Award-winning customer service

Your experience is our top priority. With 24/5 customer service and extensive industry knowledge, you can count on a smooth and ideal customer experience.
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Backed by regulatory expertise

Our technology and resources are backed by decades of regulatory expertise, with the support of compliance consultants who have served as CCOs, lawyers and regulators themselves.

Supporting Documents

FINRA entitlement
ADV Part 1 (online)
ADV Part 2A (PDF and Word Doc)
Form ADV Part 3 (Form CRS)
Form U4 for one representative
Form ADV Part 2B for one representative
Additional filing documents and regulatory paperwork
Filing in primary jurisdiction
Filing in Investment advisory agreement jurisdiction
Privacy policy statements
Policies and procedures/compliance manual
Code of Ethics
Business continuity plan (BCP)
Information security policy

Frequently Asked Questions

How do I start the RIA registration process?
Who would need registration support?
What is included with a MyRIACompliance subscription?

Ready to get started?

Start your journey to independence today. Contact us to learn more about state and SEC RIA registration requirements.