Register your RIA — done right, the first time
We guide new investment advisors through SEC and state registration from start to approval — then keep you compliant long after you're live.
From decision to registered advisor in weeks
Most new RIAs underestimate how much is involved. We handle the complexity so you don't have to learn it the hard way.
Discovery call
We learn about your business model, AUM, services, and state(s) of operation to determine whether SEC or state registration is right for you.
ADV drafting
We draft your Form ADV Part 1 and Part 2A brochure — your firm's regulatory disclosure documents — tailored to your actual business.
IARD filing
We submit your ADV through the IARD system and manage all state notice filings. You stay informed at every step.
Approval & launch
Once approved, we deliver your compliance manual, client agreements, and disclosure package so you're operating correctly from day one.
Registration and what comes after
Getting registered is the beginning. We offer every compliance service a new or growing RIA needs to stay exam-ready and operate correctly.
RIA registration
Full-service SEC or state registration including ADV drafting, IARD filing, compliance manual, client agreements, and disclosure package.
Flat fee — $2,995Form CRS preparation and filing
Drafting and filing of your Client Relationship Summary — required for SEC-registered advisors serving retail clients.
Flat feeState switching
Managed transition between state and SEC registration when your AUM crosses the $100M threshold — or back down if needed.
Flat feeAnnual ADV amendment
Part 1 and Part 2A annual amendment filed through IARD, including AUM recalculation, disclosure review, and state notice updates.
SubscriptionCompliance manual updates
Ongoing updates to your written policies and procedures as regulations change and your business evolves.
SubscriptionPersonal trade review
Monthly review of supervised persons' personal securities transactions against your code of ethics and internal policies.
SubscriptionEmail review
Up to 2 hours per month of client-facing email review for regulatory compliance and marketing rule adherence.
SubscriptionAdvertising review
Pre-publication review of up to 5 marketing materials per month under the SEC marketing rule.
SubscriptionCompliance technology
Portal, deadline calendar, and communication archiving for email, social media, website, and text. Provided by RIA Compliance Technology. riacomptech.com
From $150/moAnnual Rule 206(4)-7 compliance review
Structured annual review of your compliance program as required under the Advisers Act — documented and defensible.
ConsultingMock audit
Simulated SEC or state examination to identify deficiencies before a real exam — includes findings report and remediation guidance.
ConsultingAnnual compliance training
Customized compliance training for your supervised persons covering relevant regulatory requirements and firm policies.
ConsultingBooks and records review
Review of your recordkeeping practices against SEC Rule 204-2 requirements to ensure completeness and accessibility.
ConsultingCybersecurity policy review
Assessment of your cybersecurity program against SEC expectations and current best practices for investment advisers.
ConsultingBusiness continuity plan review
Review and update of your BCP to ensure it meets regulatory expectations and reflects your current operations.
ConsultingCustody rule compliance review
Assessment of your custody arrangements and controls against SEC Rule 206(4)-2 requirements.
ConsultingSoft dollar and best execution review
Review of your soft dollar arrangements and best execution practices against Section 28(e) safe harbor requirements.
ConsultingWrap fee program compliance
Compliance review of your wrap fee program disclosures, practices, and oversight procedures.
ConsultingExam preparation
Full readiness review of your books, records, and compliance program to prepare for an SEC or state regulatory examination.
ConsultingClear fees, no surprises
Registration is a flat $2,500. Ongoing compliance is a build-your-own subscription starting at $345/mo.
RIA registration
Everything to get registered and operating correctly from day one.
- Filing & approval
- Regulatory jurisdiction analysis
- ADV Part 1 and Part 2A drafting
- IARD filing and submission
- State notice filings
- Regulator comment response
- Customized for your business
- Compliance manual
- Client agreements
- Disclosure package
- 30-day post-approval support
Ongoing compliance help
Build a custom compliance plan around your firm's needs. Core deliverables included — add what you need.
- Annual ADV update
- Compliance manual updates
- Annual compliance review
- Add email, trade, ad review
- Free tech package at 3+ services
Project consulting
Scoped engagements for exam prep, compliance program buildout, or advertising review.
- Exam / audit preparation
- Compliance program setup
- Marketing rule review
- Fixed scope, fixed price
All engagements begin with a no-cost discovery call. Registration pricing may vary by state count and complexity.
Ongoing compliance help — pick what you need
Select services to build your monthly total. Add 3 or more optional compliance services and the technology package is included free.
Final pricing confirmed after discovery call. Technology package priced for up to 4 employees.
Schedule a discovery callReady to get registered?
Book a free 30-minute discovery call and we will walk you through exactly what registration looks like for your firm.
Free 30-minute call. No commitment required.