Financial Services Law Firm • Altitude Securities Law Office

RIA Registration

We help our clients navigate the time consuming Registered Investment Adviser (RIA) registration process, so they can focus on building their investment advisory businesses. Whether they are required to comply with federal or state filing requirements, we handle the entire registration process so they can rest assured they are complying with all of the required rules and regulations. Filing requirements are overwhelming and vary from SEC and state-to-state, which can lead to serious mistakes. Failure to comply with the intricacies of state and federal regulations can subject RIA businesses to heightened scrutiny by regulators and result in financial penalties, suspension, and bar RIAs from the industry. We customize our clients’ documents to fit each one specifically, for their business and the services they provide, whether investment management services, financial planning services, consulting, or entering solicitor arrangements with other RIAs.

Our RIA Registration services include:

Scroll to Top