How do I start an RIA?

To start an RIA, you must establish your advisory business, determine whether SEC or state registration applies, and prepare the required regulatory and compliance documentation. Starting an RIA firm includes entity formation, Form ADV preparation, and implementing written compliance policies before you can legally provide investment advice for compensation.

How do I register as an RIA?

RIA registration is completed through the Investment Adviser Registration Depository (IARD) system and requires filing Form ADV and related disclosures with the SEC or applicable state regulator. Many advisors choose professional RIA registration services to reduce errors, avoid delays, and navigate regulator feedback efficiently.

How do I become an RIA?

Becoming an RIA requires meeting qualification requirements (such as the Series 65 or applicable exemptions), registering your firm with the appropriate regulator, and receiving approval after regulatory review. The process involves both legal registration and building a compliant advisory framework that supports long-term operations.

How do I become a registered investment advisor?

You become a registered investment advisor once your SEC or state regulator approves your registration and authorizes your firm to operate. Ongoing compliance obligations begin immediately after approval, making it critical to launch with properly structured policies and procedures.

What compliance documents are essential for a new RIA?

For a new RIA, essential compliance documents include, but are not limited to: • Form ADV: This is your primary registration document with the SEC or state regulators, detailing your business practices, fees, and disciplinary history. • Compliance Manual: A comprehensive manual outlining your firm's policies and procedures, covering everything from client onboarding to cybersecurity. • Code of Ethics: A written document establishing standards of conduct for all personnel. • Client Agreements/Advisory Agreements: Legal contracts outlining the terms of your advisory relationship with clients. • Privacy Notice: Required under the Gramm-Leach-Bliley Act, explaining how client data is collected, used, and shared. • Form CRS (Client Relationship Summary) & Form ADV Part 3: A concise document summarizing key information about your services and relationship with clients. We help craft and customize essential compliance documents to get your business off to a compliant start.

Rocket icon representing business growth and startup success.

Start an RIA successfully with help from our RIA registration services.

Experienced counsel to confidently launch and register your SEC or state RIA.

Engage With Our Experts

Start an RIA successfully with help from our RIA registration services.

Experienced counsel to confidently launch and register your SEC or state RIA.

Engage Our Experts

Engage With Our Experts

Trusted RIA registration services for small advisory firms and growing investment advisers—designed to help you start an RIA and launch with confidence.

A Smooth Registration Process

A Smooth RIA Registration Process

A Smooth RIA
Registration Process

The journey to launching a new investment advisory firm is thrilling—but navigating SEC or state registration can feel overwhelming.

Our team specializes in RIA registration services that support advisors at every stage, from starting an RIA firm to long-term compliance readiness.

As an experienced RIA registration services provider, AdvisorLaw delivers comprehensive services for investment advisers seeking reliable, flat-rate RIA registration services without hidden costs or unnecessary delays.

Seamless
Transition
Support

Seamless Transition
Support

Flat-Rate
Registration

Proactive
Compliance

Seamless Transition
Support

Flat-Rate
Registration

Proactive
Compliance

Expert legal advice from AdvisorLaw LLC, specializing in business law, estate planning, and corporate legal services for clients seeking reliable legal support.

What Our Clients Say About Us

What Our Clients
Say About Us

"Advisor Law knew exactly what needed to be done...I've recommended the firm to several former colleagues... and wd do so again...many thanks to you all."

- John Brewer⭐⭐⭐⭐⭐

"AdvisorLaw was quick, easy, and effective. They are competitively priced, and they got the job done quickly."

- Raj Rajendran ⭐⭐⭐⭐⭐

"Best Decision Ever! My choice to hire AdvisorLaw was, without a doubt, the best career choice that I have ever made. The team is stacked with powerful, relentless, intelligent, and compassionate professionals. Thank you, AdvisorLaw, for giving my career the turbocharge that I never knew it could get!!"

- Bruce Kriens⭐⭐⭐⭐⭐

"Listened to my needs, Thorough and methodical process to get me from the start to completion, Attention to detail. "

- Shane Farina ⭐⭐⭐⭐⭐

"Great advice, excellent coaching, flawless execution. Highly recommended!"

- Brad Tiche⭐⭐⭐⭐⭐

"Very professional. Everyone called when they said they would call. There was plently of follow up and follow through. Effective communication made this very easy for me! Thank you!"

- Lisa Murray⭐⭐⭐⭐⭐

"Advisor Law has been a great resource and advocate for me as a professional. Through countless conversations and a successful engagement, they have acted as true professionals delivering perfect results along the way. Thank you!"

- Travis Jeffrey⭐⭐⭐⭐⭐

"I was very happy will the level of service I received and the results. Was worth every penny to hire this firm. I highly recommend."

- Ted Peroulakis⭐⭐⭐⭐⭐

"The team at Advisor Law is great!"

- Kevin Pentz⭐⭐⭐⭐⭐

"Hard working group of folks assisting me in matters of expertise, on their end, with an emphasis on results."

- Rob Ryan⭐⭐⭐⭐⭐

"Advisor Law knew exactly what needed to be done...I've recommended the firm to several former colleagues... and wd do so again...many thanks to you all."

- John Brewer⭐⭐⭐⭐⭐

"AdvisorLaw was quick, easy, and effective. They are competitively priced, and they got the job done quickly."

- Raj Rajendran ⭐⭐⭐⭐⭐

"Best Decision Ever! My choice to hire AdvisorLaw was, without a doubt, the best career choice that I have ever made. The team is stacked with powerful, relentless, intelligent, and compassionate professionals. Thank you, AdvisorLaw, for giving my career the turbocharge that I never knew it could get!!"

- Bruce Kriens⭐⭐⭐⭐⭐

"Listened to my needs, Thorough and methodical process to get me from the start to completion, Attention to detail. "

- Shane Farina ⭐⭐⭐⭐⭐

"Great advice, excellent coaching, flawless execution. Highly recommended!"

- Brad Tiche⭐⭐⭐⭐⭐

"Very professional. Everyone called when they said they would call. There was plently of follow up and follow through. Effective communication made this very easy for me! Thank you!"

- Lisa Murray⭐⭐⭐⭐⭐

"Advisor Law has been a great resource and advocate for me as a professional. Through countless conversations and a successful engagement, they have acted as true professionals delivering perfect results along the way. Thank you!"

- Travis Jeffrey⭐⭐⭐⭐⭐

"I was very happy will the level of service I received and the results. Was worth every penny to hire this firm. I highly recommend."

- Ted Peroulakis⭐⭐⭐⭐⭐

"The team at Advisor Law is great!"

- Kevin Pentz⭐⭐⭐⭐⭐

"Hard working group of folks assisting me in matters of expertise, on their end, with an emphasis on results."

- Rob Ryan⭐⭐⭐⭐⭐

Expert legal advice and consultancy services by AdvisorLaw LLC for financial and legal planning, ensuring client success and compliance.

Seamless Transition Support

Seamless Transition Support

Leaving your current firm is simpler than you imagine. Our transition services offer a definitive roadmap to independence, designed to minimize risks and seize opportunities. We defend any adversarial situations, handle contract analysis, and manage operational complexities, freeing you to focus on moving your clients over. Partner with us to unlock your full potential as an independent RIA and thrive in your new venture.

Engage With Our Experts

Engage With
Our Experts

Meet Your Experts

Meet Your Experts

Michelle Atlas-Quinn, J.D.

Vice President of RIA Operations

Start an RIA successfully with help from our RIA registration services.

A Smooth RIA Registration Process

Seamless Transition Support

Flat-Rate Registration

Proactive Compliance

What Our Clients Say About Us

Seamless Transition Support

Meet Your Experts

Flat-Rate RIA Registration

Stay Ahead of The Curve

Frequently Asked Questions

Request a Private Consultation

Seamless Transition
Support

Flat-Rate
Registration

Proactive
Compliance

What Our Clients
Say About Us

Stay Ahead of
The Curve