Recorded on August 14, 2019, 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.
Register now to immediately view this complimentary webinar so you can start planning for your new investment advisor firm.
Time: 66 minutes