Turn-Key Investment Advisor Registration Service

Whether you have experience in the securities industry or you are just starting to build your investment advisory business, you undoubtedly have questions about how to become a registered investment advisor. The process of setting-up and registering a new investment advisor firm can seem like an overwhelming and daunting task for many. Even those that have a compliance background and may have worked with an investment advisor in the past can find the investment advisor registration process to be extremely time-consuming and tedious. Let us answer your questions about how to become a registered investment advisor and guide you through the investment advisor registration process.

RIA Compliance Consultants has developed a turn-key investment advisor registration process to assist you with setting-up your investment advisor firm so that you can focus your time and energy on the other aspects of starting your new business. By accessing our web-site, you are taking the first step in determining whether you will use an investment advisor registration service provider or attempt to complete the investment advisor registration process on your own. We will try and help make that decision a little easier for you.

Why Use an Investment Advisor Registration Service Provider and Why RIA Compliance Consultants?

Turn-Key Investment Advisor Registration Package

  • Complimentary webinar regarding the investment advisor registration process, “How to Become a Registered Investment Advisor – The Nuts & Bolts of Registering as an RIA.” This webinar will help to prepare you with some of the basic information regarding the investment advisor registration process. It will help you have a better understanding of the information that will need to be provided during the process, the forms that will need to be completed, and the anticipated timeline of going through the investment advisor registration process.
  • Provide instructions for funding your IARD account with any state investment advisor registration or licensing fees and any system user fees.
  • Assist with setting-up your FINRA IARD account by preparing IARD entitlement forms.
  • Provide instructions for funding your IARD account with any state investment advisor registration or licensing fees and any system user fees.
  • Prepare Form ADV Part 1A, Part 1B (if applicable), Schedule A, B, and D.
  • Prepare Form ADV Part 2A and any Part 2B supplemental brochures. We will provide you with a copy of these documents in Microsoft Word and PDF formats. We will also assist with uploading the required document(s) through the IARD system for submission to the securities regulators.  Prepare any Form U4s.
  • Upon your review and approval, electronically submit documents on your behalf for investment advisor registration.
  • Investment advisor firms registering with a state securities regulator – We will notify you of any additional documentation that will have to be submitted directly to the state(s) (i.e., balance sheet, client agreements, fingerprint cards). We will provide you with any state specific forms, if available, and can assist you with completing these documents. Additionally, we will provide you with a sample cover letter that can be used to submit your investment advisor documents.
  • Serve as a regulatory liaison for any questions or revisions.
  • Prepare and file 120-day amendment filing for SEC firms, if applicable.
  • Prepare customized written compliance policies and procedures and a code of ethics. SEC registered investment advisor firms will receive a manual written to Investment Advisers Act of 1940. State registered investment advisor firms will receive a manual written to the state specific regulations of the state where they maintain their principal office and place of business. (Upon request, RCC will provide a one-hour, follow-up consulting call to assist with questions or revisions of initial draft presented.)
  • Provide a packet of sample forms and checklists (i.e., sample privacy policy notices, code of ethics and compliance manual acknowledgement forms, annual compliance calendar checklists, and suggested list of compliance files and reports) that can be used to help with your ongoing compliance responsibilities as an investment advisor.
    advisor.
  • Ongoing investment advisor compliance reminders and update notices provided through our email newsletter.

Turn-Key Investment Advisor Registration Plus Package

  • Complimentary webinar regarding the investment advisor registration process, “How to Become a Registered Investment Advisor – The Nuts & Bolts of Registering as an RIA.” This webinar will help to prepare you with some of the basic information regarding the investment advisor registration process. It will help you have a better understanding of the information that will need to be provided during the process, the forms that will need to be completed, and the anticipated timeline of going through the investment advisor registration process.
  • Assist with setting-up your FINRA IARD account by preparing IARD entitlement forms.
  • Provide instructions for funding your IARD account with any state investment advisor registration or licensing fees and any system user fees.
  • Prepare Form ADV Part 1A, Part 1B (if applicable), Schedule A, B, and D.
  • Prepare Form ADV Part 2A and any Part 2B supplemental brochure. We will provide you with a copy of these documents in Microsoft Word and PDF formats. We will also assist with uploading the required document(s) through the IARD system for submission to the securities regulators.
  • Prepare any Form U4s.
  • Upon your review and approval, electronically submit documents on your behalf for registration.
  • Investment advisor firms registering with a state securities regulator- We will notify you of any additional documentation that will have to be submitted directly to the state (i.e., balance sheet, client agreements, and fingerprint cards). We will provide you with any state specific forms, if available, and can assist you with completing these documents. Additionally, we will provide you with a sample cover letter that can be used to submit your investment advisor registration documents.
  • Serve as a regulatory liaison for any questions or revisions requested during the initial review and approval of your investment advisor registration documents by the SEC or state securities regulator(s).
  • Prepare and file 120-day amendment filing for SEC firms, if applicable.
  • Prepare customized written compliance policies and procedures and a code of ethics. SEC registered investment advisor firms will receive a manual written to Investment Advisers Act of 1940. State registered investment advisor firms will receive a manual written to the state specific regulations of the state where they maintain their principal office and place of business. (Upon request, we will provide a one-hour, follow-up consulting call to assist with questions or revisions of initial draft presented.)
  • Provide a packet of sample forms and checklists (i.e., sample privacy policy notices, code of ethics and compliance manual acknowledgement forms, annual compliance calendar checklists, and suggested list of compliance files and reports) that can be used to help with your ongoing compliance responsibilities as an investment advisor.
    advisor.
  • Ongoing investment advisor compliance reminders and update notices provided through our email newsletter.

Additional ongoing support* beyond the registration process:

  • Training – Basic training regarding the role of an investment advisor’s Chief Compliance Officer. Training on maintaining your investment advisor firm’s books and records. (Includes a list of required books and records to assist you with establishing and maintaining appropriate documents, reports, and files that may be requested by a securities regulator.)
  • 3 hours of as-needed, investment advisor compliance consulting to be used during the 12 month period following engagement. Can be used for assistance with general compliance questions, document updates, reviewing marketing materials (i.e., websites, business cards, letterhead) (Will not include review of performance related marketing materials.)
  • Annual renewals and the Form ADV Part 1 annual amendment filing.* We provide the turnkey investment advisor registration plus package option in case an investment advisor wishes to purchase some ongoing compliance support as part of its registration package. However, we provide a wide variety of ongoing investment advisor compliance support services. You can engage us for these services at the same time you engage us for investment advisor registration services or once the investment advisor registration process is complete.

Work with an Industry Experienced Compliance Professional – RIA Compliance Consultants has completed the investment advisor registration process numerous times with various securities regulators. We provide you with a team of securities industry experienced, seasoned compliance professional to help you through the investment advisor registration process. Our compliance consultants understand numerous compliance risks and conflicts of interest associated with various business models of investment advisors. As you are making your decision, you must keep in mind that the documents prepared by RIA Compliance Consultants will not just be used to register your investment advisor firm, these documents will help your investment advisor firm meet its fiduciary duty to provide full and fair disclosure to its clients. Your initial investment advisor registration documents should not just be prepared so that your investment advisor firm can get registered quickly; these documents should be prepared in a manner that will pass regulatory scrutiny in the future.

Allow Us to do the Heavy Lifting – Learning how to become a registered investment advisor, figuring out where to register as an investment advisor, knowing what documents need to be submitted, understanding the securities regulator’s expectations, and navigating your way through the IARD system, it can all be an overwhelming process. Our compliance professionals have prepared and filed hundreds of investment advisor registration applications. We work with investment advisor firms located throughout the United States as well as some in foreign countries. We are familiar with the SEC and state investment advisor registration process and regulatory expectations so we can guide you through the registration process in a fast and efficient manner. For a better understanding of the investment advisor registration process, click here to register for the next live session of our complimentary webinar, “How to Become a Registered Investment Advisor – The Nuts and Bolts of Registering as an RIA” or click here to access a previously recorded version of this webinar.

Receive a Quick Turnaround – As long as you can provide us with the information we need in a timely manner (within the first 5 business days after fully engaging RIA Compliance Consultants), we can provide your customized investment advisor registration documents to you within 7 business days.

Develop a Long-Term Relationship with a Dedicated Team that Will Know Your Ongoing Compliance Needs – Although you can choose to simply engage us to assist you with the investment advisor registration process, the goal of RIA Compliance Consultants is to develop a long-term relationship with you and assist with your on-going compliance needs as an investment advisor. We believe in taking a proactive approach of working with our investment advisor clients by trying to keep them informed of regulatory changes, expectations of securities regulators, and hot topics as well as providing periodic reminders of various compliance functions that should be performed throughout the year. Our first way of doing this is through our complimentary email newsletter. Click here now to register for the newsletter and make sure that your investment advisor stays informed of important investment advisory compliance topics.

We Value Our Relationship with All of Our Investment Advisor Clients – We serve a wide variety of investment advisor firms in terms of size and business models. That is why we do not take a one-size, fits all approach to working with our investment advisor clients. We understand that as a one-person shop your compliance needs may be simpler than those of an investment advisor firm with multiple employees or that an investment advisor firm whose only service is serving as a solicitor will not need as complex of a compliance program as an investment advisor firm providing discretionary asset management. Our investment advisor registration and compliance services will be customized to your business model as well as to the size of your investment advisor firm.

All-Inclusive, Competitively Priced Fixed Fee – We can assist you with the entire investment advisor registration process. Since registering investment advisors is one of our core offerings, we are able to provide quality, customized investment advisor registration services in a timely and efficient manner at a lower cost than many other consultants. Our prices are customized based on a variety of factors specific to the needs of your investment advisor firm. To obtain a quote for our Turn-Key Investment Advisor Registration Package, please click here to complete our online Request for Proposal Form to provide us some of the necessary information for us to prepare your initial quote. Once you have completed this Form, you will be provided a link to our online calendar to schedule a time so that one of our consultants can contact you at a time that is convenient for you.

The work and complexity associated with an investment advisor registration engagement can vary significantly based on numerous factors such as: state versus SEC registration; the number of states requiring registration or notice filing; the number of IARs; the disciplinary history of the firm and its associated persons; and the particular investment advisory services that will be offered by the investment advisor. In order to provide you with an initial quote specific to your firm’s situation, we will need to gather some details regarding the structure and business model for your proposed investment advisor. To facilitate this process, we request that you complete our Request for Proposal Form. Upon submission of this information, you will be provided the opportunity to schedule a time for one of our consultants to contact you to further discuss your specific situation provide you with an initial quote for our turnkey investment advisor registration services. You can also contact us directly at 877-345-4034 to speak with one of our consultants or click here to schedule a time for one of our consultants to contact you.

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