RIA Registrar provides a turn-key solution to become a state or SEC registered investment advisory firm. Filings vary based on your respective state statutes and regulations and can be overwhelming requiring significant industry knowledge, time, and attention to detail. Failure to comply or undisclosed conflicts can be damaging to your advisory practice and may have lasting negative affects.
Learn about our turn-key registration services:
Series 65 Waiver
Submit an exemption in lieu of the Series 65 for an approved professional designation.
Series 65 Licensing
Complete the Form U10 to open your Series 65 exam window and schedule you Series 65 test date at your preferred testing center.
Form ADV part II/F
Prepare and download ADV Part II and Schedule F. All disclosures are based on your desired business model.
Form U4
Prepare and electronically file (Web CRD) the Form U4. Register each IAR applicant to the affiliated firm.
Regulatory Liaison
Serve as your liaison with the securities regulators. Correct any deficiencies as identified to expedite approval.
Form ADV part I
Prepare and e-file ADV Part IA, Part IB, Schedule A, Schedule B, Schedule C, Schedule D and if applicable DRPs.
IARD Service Bureau
Serve as IARD/Web CRD service bureau for your firm during the registration process and thereby electronically file applicable application documents on behalf of your firm.
Entitlement Forms
Create your required user account and access (entitlement) for e-filing on the IARD/Web CRD system (a system sponsored by NASAA and the SEC).
Incorporation (LLC, S Corp, Etc.)
Complete all required filings, documentation and IRS registration.
Required Documents
Provide required documents specific to state regulations.
IARD/State Fees
Faciliate accurate funding to account for required state fees.