RIA Registration Lawyer

My RIA Lawyer helps clients starting out on their own register their RIAs and follow compliance guidelines.

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.

RIA Registration lawyer

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

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

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 help growing your business and staying in compliance, discuss these services with your RIA registration lawyer.

Additional 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 your attorney with questions at any time during this three-month period. You’ll also receive a license to use SmartRIA compliance software for 90 days. This software streamlines RIA compliance, making it much easier to stay within the law. Using this software will provide an advantage as you start out.

Series 65 Exam

Passing the Series 65 exam is the most common way for an individual to register as an investment advisor representative. Once registered, you can operate your RIA. 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.

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Why Choose My RIA Lawyer?

  • Experts in the RIA Space – My RIA Lawyer is the only law firm solely focused on the RIA space.
  • Confidential Strategy Session – During your phone or online video consultation, we will listen to you and help you determine your next steps.
  • Focused Legal Practice – By focusing the firm on investment advisers, our clients receive specialized services and advice that finally allow them to take control and live the life they dream of.
  • Experienced – My RIA Lawyer has a proven record of protecting financial advisers by helping them create strong compliance systems and empowering them to fight back when regulators threaten their business and livelihood.
  • Custom Solutions – You and your business are unique. That’s why we don’t use fill-in-the-blank form documents. Unlike non-attorney service providers, we customize documents for your business. Personal attention is central to our mission.
  • Highly Responsive – We strive for rapid return calls. No going dark or waiting days to hear back.
  • Proactive Approach – Our goal is to keep nosy regulators out of your business and out of your wallet. When we aren’t helping firms avoid regulators by putting in place robust compliance systems, we are vigorously defending them against client and regulatory actions.
  • Highly Reviewed & Rated – Excellent rating by respected legal website Avvo, awarded by Super Lawyers, 5 – Star average review rating on Google. See some of our client reviews below.

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