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:

  • Creation of RIA legal entities in states
  • Preparation of operating agreements
  • Obtaining FINRA Gateway credentials
  • Preparation of the required ADV documents, including Part 1, Part 2A, Part 2A Appendix 1, Part 2B, Part 3) and Forms U4
  • Preparation of necessary contracts
  • Preparation of compliance documents, i.e., compliance manual, code of ethics, privacy policy, business continuity plan, and cybersecurity policy
  • Interact with states and SEC related to registration applications
  • Obtain admissions into the Broker Protocol
  • Converting from state to SEC registration
  • Converting from SEC to state registration
  • Registering or notice-filing firms in additional states as required by specific state laws
  • Registering new IARs with firms and associated states as required by specific state laws

 

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Regulatory Defense, Securities Litigation, Private Funds, RIA Registration, General Counsel, Mergers & Acquisitions, FINRA Expungements

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