Launch Your Own RIA. Simple Process. Solid Foundation.
My RIA Lawyer handles the full RIA registration process as a fixed-fee engagement — entity formation, Form ADV, compliance manual, and state filings. We make registration straightforward so you can focus on what you’re building, not the paperwork behind it.
Built for Advisors with Existing Books of Business
Fixed-Fee Pricing
SEC & State Registration
Ongoing Compliance Support Available
A Complete Registration Package for Advisors Ready to Launch.
Whether you’re breaking away, transitioning your practice to an independent structure, or formalizing an existing advisory relationship, My RIA Lawyer handles the full registration process as a single, fixed-fee engagement. The entity, the filings, reviewing employment and IAR agreements, exit strategy, and how to avoid violating any restrictive covenants. We get you set up correctly from day one.
Breakaway Advisors
Leaving a wirehouse or captive firm and transitioning to an independent RIA structure under your own brand.
Advisor Transitions
Moving between firms or structures and needing a properly registered entity to bring your practice to.
Team Breakaways
Multi-owner businesses will require employment and contractor agreements and operating agreements.
Formalizing Existing Practices
Advisors operating under an existing firm or informally who are ready for their own independent registration.
Not sure whether you need SEC or state registration, or which entity structure makes sense for your practice? That’s exactly what the initial consultation is for.
What We Handle
RIA Registration Services
Your job is building the practice. Ours is handling the registration. We manage every step — entity formation through confirmed registration — as a single, coordinated engagement at a fixed price.
Entity Formation
LLC, S-Corp, or C-Corp formation, EIN application, state entity registration, and operating agreement or bylaws. Most breakaway advisors use an LLC or S-Corp structure.
Form ADV Preparation & Filing
Complete Form ADV Part 1 (registration application), Part 2A (firm brochure), Part 2B (IAR supplements), and Form CRS. All filed through IARD.
Compliance Manual
Policies and procedures manual tailored to your firm’s business model, services, and client types. Covers Code of Ethics, marketing rule, trading, best execution, and conflicts.
Investment Management Agreement (IMA)
Client agreement templates customized to your fee model, services, and state-specific requirements. Reviewed by securities attorneys.
State Registration & Notice Filings
State registration requirements determination, state-specific form preparation, and notice filings in states where you have clients.
IAR Registration
Form U4 preparation and filing for all investment adviser representatives, state IAR registrations, and Series 65 guidance if needed.
All registrations include 30 days of post-registration compliance support.
Most clients transition to CCO On Call or OCD services after launch. Ensuring the compliance program continues to run correctly as the firm grows.
How Registration with the SEC Works
RIA registration follows a predictable sequence. Here’s how the engagement works from start to filing.
Step 1
Discovery & Structure Planning
We review your practice, confirm your entity structure, registration path (SEC vs. state), and service model. You provide background information and business details. We build the registration roadmap.
Step 2
Document Preparation
Entity formation, Form ADV drafts, compliance manual, IMA templates, and state filing determinations are prepared in parallel. You review and approve all documents before filing.
Step 3
Filing & Regulatory Review
All documents are filed through IARD and relevant state systems. SEC review typically takes 45 days; state timelines vary (30–90 days). We manage all follow-up with regulators.
Step 4
Registration Confirmed & Launch
Once registration is confirmed, we provide your post-registration compliance checklist, walk through initial compliance requirements, and transition you into ongoing support if applicable.
Total engagement timeline: typically 8–12 weeks from kickoff to confirmed registration, depending on regulatory review timelines.
Registration Handled by Securities Attorneys Who Know the Industry.
Advisors breaking away or launching their own RIA have one opportunity to set the structure up correctly. My RIA Lawyer works exclusively with financial firms — which means the team handling your registration understands Form ADV, custody rules, breakaway timing, and the compliance obligations that begin at launch.
We Work Exclusively With Financial Firms
Our entire team works exclusively with registered investment advisers and broker-dealers. When you’re registering an RIA, there’s no explaining the context. The Form ADV structure, regulatory thresholds, state-specific nuances, and IAR requirements are already understood.
Fixed-Fee Pricing. No Surprises.
Registration is quoted as a fixed engagement — not billed hourly. You know the full cost before we begin. No scope creep, no unexpected charges as questions arise mid-process.
A Relationship Beyond Registration
Most advisors who register with us don’t disappear after launch. CCO On Call, OCD, and OCCO services are available for firms that want ongoing compliance support. You keep the same team, same attorneys, and the same understanding of your firm’s structure.
Good registration is the foundation everything else is built on.
We make the process clear, complete, and compliant — so your firm is set up correctly from the first day it operates.
Ready to Launch Your RIA?
Schedule a consultation to discuss your practice, your timeline, and the right registration path for where you are today.