How do I register for RIA?

Registering for RIA involves filing Form ADV with the SEC or state securities authority. Our experts can guide you through the process.

What is RIA certification?

RIA certification refers to the formal registration of a Registered Investment Advisor (RIA) with the SEC or state authority to provide investment advice professionally.

How does an RIA register with the SEC?

To register with the SEC, submit Form ADV electronically through the Investment Adviser Registration Depository (IARD) system, providing essential details about your firm and operations.

RIA Registration Services

RIA Registration

You’ve put in your time with a firm, and now, you’re ready to break out on your own. You’re excited about what the future will bring, and you’re already thinking about the money you’ll make. First, though, you need to navigate the RIA (Registered Investment Advisor) registration process.

This is more time-consuming and labor-intensive than many people expect. In fact, it’s not unusual for individuals to dedicate more than 40 hours to registering the RIA and setting up the compliance program.

It can be even longer if mistakes are made during the process.

You can avoid the frustration by hiring an RIA registration lawyer. Our team can save you time and headaches while also providing extras that you won’t get if you undertake the process yourself.

Click here to view RIA Registration Package

Investment Adviser Registration Requirements

When it comes to registering as a Registered Investment Adviser (RIA), the general rule is that investment advisors overseeing regulatory assets worth $100 million or more must complete registration with the Securities and Exchange Commission (SEC).

However, there are specific exceptions to this rule that apply to advisors with less than $100 million in regulatory assets under management (AUM), allowing them to register with the SEC rather than their respective state(s).

Here are some common exceptions to this rule:

Principal Office in New York: Investment advisors with their main office and primary business location in New York typically choose SEC registration if their AUM is $25 million or more.
Advisors to Registered Investment Companies: Advisors serving investment companies registered under the Investment Company Act of 1940 are required to register with the SEC, regardless of their AUM.
Multi-State Advisors: Advisors who would be mandated to register in 15 or more states usually opt for SEC registration, regardless of their AUM.
Internet-Only Advisors: Investment advisors operating exclusively through the Internet can register with the SEC regardless of their AUM.

Furthermore, it’s important to note that newly registered investment advisors who anticipate meeting the SEC eligibility criteria within the first 120 days from their initial registration approval can also initiate their RIA registration with the SEC.

If you require assistance with navigating these registration requirements and ensuring compliance, our lawyer website specializes in guiding you through the intricacies of RIA registration.

RIA Registration Services

My RIA Lawyer provides a full range of services to help you register your RIA. Our RIA registration services include:

Incorporation of entity
Description of local requirements for your RIA
Registration in multiple jurisdictions
RIA registration process management
Filling out and submitting registration documentation
Drafting IMA, compliance manual, and solicitor’s agreement
Compliance support

Empower your investment advisory journey with My RIA Lawyer’s comprehensive services. From entity incorporation and compliance support, we navigate the complexities of FINRA, SEC, and state securities regulations. Our team assists with drafting vital documents like IMAs, compliance manuals, and solicitor’s agreements, ensuring compliance with the Investment Advisers Act.

Trust us to manage the intricate registration process, allowing you to focus on delivering expert investment advice while we handle the regulatory intricacies.

Choosing a Business Structure

Your RIA registration lawyer can help you choose a business structure. Most RIAs are LLCs. However, some choose S corps due to the tax benefits. Your attorney will discuss all of your options, as well as the benefits and drawbacks of each. After discussing the structures, you’ll be ready to choose the entity that makes the most sense for your company. Then, we will form your business and register your RIA.

Choosing a Chief Compliance Officer

Choosing a chief compliance officer (CCO) is important when registering your RIA. The CCO will keep up with regulatory changes and ensure that your firm remains in compliance. Some individuals choose to act as the CCO when first forming an RIA. However, this task is burdensome, and unless you are well-versed in regulations, you could make a costly mistake.

My RIA Lawyer provides CCO services for firms of all sizes. If you would like to help grow your business and stay in compliance, discuss these services with your RIA registration lawyer.

Series 65 Exam

In order to register as an investment adviser representative, you must pass the Series 65 exam or qualify for an exemption from the testing component by holding one of six designations. Every RIA must have at least one investment adviser representative registered to conduct business. If you do not have the Series 65 or a qualifying designation, your RIA registration lawyer can provide guidance for registering for the exam. Next, you’ll need to prepare so you’ll score at least 72 percent.

Then, you can take the next step to register as an RIA for your business. While this sounds complicated, your attorney will walk you through each step of the process, ensuring that you don’t leave anything out.

Benefits of RIA Registration Through My RIA Lawyer

Your RIA registration lawyer at My RIA Lawyer will provide additional resources to help you succeed. When you use the RIA registration services, you will receive 90 days of compliance support once your firm is registered.

You can call or email our team with questions at any time during this three-month period.

Contact My RIA Lawyer Today

Ready to streamline your RIA registration process? Our team specializes in federal and state registration, ensuring your compliance as SEC-registered investment advisers.

Our attorneys are experienced in both federal and state registration, guiding you effortlessly through the complexities of becoming SEC-registered investment advisers. With in-depth knowledge of investment adviser registration, we ensure meticulous preparation and submission of documents, leaving you free to focus on your clients.

Trusted RIA Compliance Guidance

I had a specific legal issue that was of significant importance to our firm, and a sensitive matter where there was disagreement about what was required from a compliance standpoint. My RIA Lawyer quickly wrote a powerful “second opinion” memo on the topic that led to the resolution of the issue. I could not have been more pleased with their work.

Will Carter

Making the jump to start your own firm is a big decision. Its stressful, hard work, and you have to learn a ton. This why I decided to hire a professional team to help establish my RIA the right way the first time. My RIA Lawyer’s team is absolutely amazing. They have demonstrated expert knowledge, personable staff, and they have shown us how much they genuinely care about setting us up for success by giving us the tools we need to help others. Thank you Leila and Liz for all of your hard work!

Eric Gomez

The initial consultation was extremely valuable. I definitely recommend speaking with them. I had very custom needs, and they rose to the task!

Caleb Anderson

Excellent support for independent RIAs seeking the latest compliance support on both SEC and state rules.

Brett Janis

I worked with Leila as I was getting my new RIA firm up and running. Leila provided expert legal advice as a complement to the national compliance firm who was assisting me with my registration. I was introduced to Leila after I had already begun the process and not sure how I would have made it through without her. She was an invaluable resource and I look forward to working together again in the future!

Nicholas Chiricosta

I have used My RIA Lawyer for filing my Annual Amendments in the past and was very happy with their services and professionalism. Leila Shaver is very responsive, communicative, and extremely knowledgeable. I highly recommend their services!

Rafael G.

Leila is an expert with compliance but she also offers a wealth of knowledge as a business owner. We discussed everything including compliance, marketing, business partnerships, and more. Even though my firm is not yet at a point to work with her, she has sent me multiple emails offering assistance with the things we spoke about during our meeting.

Angela M.

The attorneys at MyRIALawyer are always extremely attentive, responsive and competent. We look forward to expanding our relationship, as we continue to grow.

Chad M.

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