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
Contact Us
RIA Registrar
4570 Churchill St, Ste 100
Shoreview, Minnesota 55126
Tel (800) 441-1219
Fax (651) 379-8048
Email Us
At RIA Registrar, we take care of everything for your annual filing. From updating and amending all required documents to sending them to the proper agencies, we make sure all necessary fees are in the right place at the right time.While our renewal package fees does not include the state fees, we calculate your fees once they are announced and let you know when they are due.The annual renewal includes:
- Updating ADV Part I
- Preparing a list of documents to submit
- Getting your money into the authorities on time
- Facilitating any additional requirements and documents
