A quick note of thanks and praise for all your help in setting up and maintaining my RIA. What can I say, you guys (and gals) are extraordinary. The process of forming my RIA and complying with my state’s (New York) labyrinth of requirements and regulations seemed daunting and undoable. You made the process easy, understandable and quick.
I've never called and waited on hold; I've never come up with a question you can't answer; and I've always felt I was treated like family. I can only hope to do as good a job in my business. Keep up the great work.
- David R., New York
Contact Us
RIA Registrar
4570 Churchill St, Ste 100
Shoreview, Minnesota 55126
Tel (800) 441-1219
Fax (651) 379-8048
Email Us
Our program assists your RIA firm to operate in good standing in your respective state. In addition, our program offers ongoing compliance solutions for fiduciary training, marketing media, record keeping, and state/SEC statutes and regulations. Focus on generating revenue and running a profitable financial practice while we oversee your Firm's administration.
Annual Renewal
Registration Review
RIA Maintenance Program
Books and Record Keeping
E&O Coverage
