Register a New State RIA:  $495.00 * – $1595.00

Register a New SEC RIA:   $695.00 * – $1795.00

 * Denotes our lowest your registration cost when purchasing our bundled services.

What’s included with your RIA registration package?

1. WebCRD/IARD Facilitation

In order to file a registered investment adviser application, one must first apply to the Financial Industry Regulatory Authority (FINRA) for an account (Entitlement) to their WebCRD/IARD on-line system (the web application for the registration of RIA firms and their representatives.) While RIA firms are not regulated or supervised by FINRA, the states and the SEC use FINRA’s WebCRD/IARD system to process applications. RIACS will complete the appropriate Entitlement forms, submit, monitor, and establish the appropriate user permissions (Entitlements) to the account.

2. ADV Part 1 (online)

The Form ADV Part 1 is the on-line portal for your Firm’s registration documentation. The Form ADV Part 1 primarily discloses information about your firm. The Form ADV Part 1 is also the vehicle to upload your Firm’s Form ADV Part 2A ( The Firm Brochure) and Form ADV Part 2Bs (Brochure Supplements.)

RIACS will complete of your firms behalf the on-line Form ADV Part 1 and the accompanying Schedules: A (Ownership Information); B (Indirect Ownership Information); D (Detailed information for Form ADV Part 1 disclosures including: Private Fund, Branch Office, and Affiliation Information disclosures), Form ADV Part 1B (Additional required information for state-registered firms); and also upload the Form ADV Part 2A and the Form ADV Part 2Bs to the Form ADV Part 1.

3. ADV Part 2A

The Form ADV Part 2A serves as your firm’s brochure. It is the narrative of your firm’s services, fees, disciplinary disclosures, and several other firm details. The Form ADV Part 2A must be provided to all current and prospective clients. All jurisdictions require that the Form ADV Part 2A be written in “plain English” and easily understood by your firm’s clients.

After a thorough information gathering and interview process, RIACS will create the Form ADV Part 2A built specifically to your firm’s business model while ensuring that its format, content, and disclosures meet your jurisdiction’s compliance requirements. All RIA firms must provide the Form ADV Part 2A to all prospective and current clients, RIACS will ensure the document is concise, compliant, and accurate. In addition, RIACS will brand your firm’s Form ADV Part 2A Brochure with your firm’s logo.

4. Form U4 for One Representative

The Form U4 is the on-line component of an individual’s registration with a RIA Firm. The Form U4 is filed with the appropriate jurisdiction(s) in which an individual Investment Adviser Representative will be working by utilizing FINRA’s WebCRD system. The form must be accurate and includes biographical, residential, employment, outside business activities and disciplinary history. The information from this form is used to populate the publicly available information on the Investment Adviser Public Disclosure search website maintained by the SEC.

5. Form ADV Part 2B for One Representative

The Form ADV Part 2B is the paper brochure that the Investment Adviser Representatives must (generally) provide to clients. This form contains employment, educational, conflict of interest, and disciplinary information. Generally, Executive Officers, any person providing investment advice to clients, and any representative advising clients must have a Form ADV Part 2B.

6. Additional Filing Documents & Regulatory Paperwork

Some states require additional supplementary documents to be created which are unique to that individual state’s regulatory requirements. RIACS will create these supplementary documents and file them with the state(s) where applicable.

7. Filing in Primary Jurisdiction

RIACS will process all required filings and ongoing correspondence with the relevant jurisdiction(s). RIACS will also address all deficiency letters on your behalf in a timely and compliant manner to ensure the registration process moves efficiently.

Additional fees will apply for the registration of additional individual representatives ($200 per) and registering the firm in additional jurisdictions ($325 per). State/SEC filing fees, FINRA filing fees, and exam fees are not included in the prices above and go directly to the agencies.

Individualized Documents*

 * Includes complete set-up of your office filing, financial and compliance systems.

1. Investment Advisory Contract

RIACS will assist you in creating your firm’s standard Client Advisory Contract including an investment policy statement ensuring your firm meets the appropriate regulatory authority standards for client advisory contracts.

2. Privacy Policy Statements

The Firm’s Privacy Policy Statement must be provided to all clients at the beginning of the client relationship and annually thereafter. It must disclose how the firm stores, handles, and disseminates client information. The Privacy Policy Statement is built to your firm’s specifications and designed to meet regulatory authority compliance requirements.

3. Policies Procedures/Compliance Manual

RIACS will develop you’re the Firm’s Policies Procedures/Compliance Manual will be written in accordance with the existing regulatory standards.  It will disclose how the firm handles issues which may arise in the day to day operation of the firm, pursuant to regulatory standards.

4. Code of Ethics

RIACS will help craft your firm’s Code of Ethics ensuring your firm meets the appropriate regulatory authority standards and is set up to conduct your business with the proper ethical standards.

5. Business Continuity Plan (BCP)

RIACS will help craft your firm’s Business Continuity Plan ensuring your firm meets the appropriate regulatory authority standards and is properly prepared should the unexpected business disruption occur.