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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:

  1. 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.
  2. 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.
  3. Multi-State Advisors: Advisors who would be mandated to register in 15 or more states usually opt for SEC registration, regardless of their AUM.
  4. 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.

Contact us today to embark on a seamless registration journey.

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How we're different

We take a no-nonsense approach to solving your problems. Forget about one-size-fits-all solutions; we roll up our sleeves and craft strategies that fit your financial business like a glove. We’re not just lawyers – we’re compliance partners, financial enthusiasts, and problem solvers.

We get it – you need answers, and you need them now. That’s where we come in, offering a blend of big-firm resources with the kind of personal attention you’d expect from a smaller one.

But what really sets us apart? We’re all about your success. Compliance is just the start; we’re here to help you thrive. We know the ins and outs of the financial world, and we’re not afraid to think outside the box to help you reach your goals while playing by the rules.

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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.


What RIAs Should Be Asking Their Attorneys

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My RIA Lawyer

“It’s important that you look at your legal provider and who it is you have invested in to protect your business, so there are a few things you should be asking your lawyer. First, do they know what the heck you’re doing? Do they know the services you provide? The fees you’re charging? Do they understand securities? One of the problems I see when there is a legal action or when there’s an enforcement action, is that so many of you are going to attorneys that have ZERO securities experience! You’re going to, God forbid, a general practitioner!! That’s not the kind of lawyer you want, you want a securities attorney! You want them to understand your business.

— Leila Shaver Founder

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