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I have spent most of the last 20 years working as an insurance agent and a Registered Rep. As I considered becoming an RIA and getting my 65 I thought it would be a better way to do investment oriented business, I just had one big problem. I did not know how to operate as an RIA! I certainly did not want to make any mistakes for my clients or get in hot water with the SEC. That is when the RIA Registrar came along. I have worked with them from day one setting up our firm getting licensed and getting everything set up for compliance. They have been great to work with and have helped us to cover every base in this new business model. It has been a good move for us to become an RIA and RIA Registrar has been an invaluable team mate in this transition. I don’t think I could have done it without their help and support.

- David T., Idaho