Starting an RIA can seem like an overwhelming endeavor.

Through the registration process, we stay by your side from inception to the day your doors open so you can focus on starting your business. You won’t be on a conveyor belt, awaiting your turn. You won’t be assigned a “service team.”

Starting an RIA is always a fixed fee. Included in this fixed fee is our Concierge approach to service. During a time full of excitement and uncertainty, we do our best to make the process as organized and predictable as possible.

starting an ria

Working for you so you can focus on your business. Learn more about our Concierge services.

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What You Should Expect During Our Process

When you agree to work with our qualified team, you’re gaining more than a business relationship. You’re gaining a partnership. We’re here to assist you with all of your initial business needs, including the following.

  • A complete partnership to understand your plan and goals, including unlimited consultations about your business, transition and registration
  • Working through extrication issues
  • Helping you determine your corporate governance
  • Establishing your new entity
  • Working with the complex Investment Adviser Registration Depository (IARD) and Central Registration Depository (CRD) systems, so you don’t have to
  • Registration on the federal or state levels (including preparing and submitting ADV, U-4)
  • Acting as liaison with regulators
  • Drafting your corporate documentation (including all client agreements, business continuity plan, privacy agreement, non-disclosure agreement, and compliance manual)
  • Establish a clear and obtainable compliance plan for ongoing use

Contact us today to schedule a consultation and discuss your options.

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