Investment Adviser Compliance Webinars: How to Become a Registered Investment Advisor


Description: Originally recorded on July 11, 2018, by RIA Compliance Consultants for parties interested in starting an investment advisor firm.

During this previously recorded webinar, RIA Compliance Consultants explains in detail the process and documents necessary for registering a firm as an investment advisor, the criteria for determining whether a firm should register with the SEC or state securities regulators, and the common pitfalls or mistakes experienced by applicants. Additionally, our consultants give numerous best practices used by applicants when registering as an investment advisor. Finally, we will review some of the ongoing obligations of a newly registered investment advisor.

Click the following link to view a copy of this presentation’s slides How to Become a Registered Investment Advisor Slide Presentation