RIA Registrar allows independent financial advisors to concentrate on serving their clients while we take care of the details.
We provide turnkey solutions that address all the needs of registered investment advisors and their practices through all the different stages of growth, whether they’ve just passed the Series 65 exam or are part of an established firm.
We partner with approved RIA firms to set-up and maintain required books and records, review marketing media and provide training for Chief Compliance Officers and affiliated IARs. In addition, we prepare active RIA firms for onsite audits and personally work with securities regulators for deficient finding’s post audit.
For active RIA firms, our program can help you to operate in good standing in your respective state. In addition, we offer ongoing compliance solutions for fiduciary training, marketing media, record keeping, and state/SEC statutes and regulations.
RIA Registrar’s team is made up of experienced professionals, including compliance and registration specialists. We guarantee our prices are the best you will find for services of this type. We design unique solutions individually suited for your firm. We keep you in compliance while you take care of your business.
With RIA Registrar’s help, you can focus on generating revenue and running a profitable financial practice while we oversee your firm’s administration.
People have some pretty funny ways of differentiating the “front office” from the “back office.” For some, it is as simple as the front office makes the money while the back office makes sure everything is in order. Others compare the two to a sports team made up of front office “star” players and back office “journeymen” players; the journeymen do the work that allows the stars to shine.
At RIA Registrar, we are okay with being the supporting players, making it possible for our clients to make names for themselves. We just work quietly in the background, making sure that everything is in order for you and your firm to shine.
We take the time to share our knowledge with our clients so that they have the best registration support, training, and compliance service experiences. With our help, the entire process of setting up a firm and properly maintaining it is a little less overwhelming.
RIA Registrar is Here to Help
Do you need help with state and/or SEC registration issues? RIA Registrar has individuals dedicated to the registration process at both the state and federal levels. We come from various business backgrounds, such as law firm administration, financial planning, licensing, and the insurance, investments and health care fields. All of us are devoted to making the registration process as smooth as possible.
If you are an established firm, RIA Registrar takes the reins in order to keep you on the right road to compliance. We bring a wealth of knowledge and experience to you garnered from years of experience working in the “back office.”
Whatever your niche, RIA Registrar is here to support you. We have been in the “back office” business of providing support and compliance services to investment advisors for 7 years, and we look forward to assisting new clients in the future as well as taking care of established clients.
RIA Compliance Consultants
You provide high-quality services and advice to your clients. Let RIA Registrar give your firm the best compliance support in the industry. Regardless of size or assets, all RIA firms must comply with state and federal regulations when providing financial advice, and these regulations are increasingly complicated. RIA Registrar’s services ensure your firm is continually in RIA compliance. At RIA Registrar, we implement numerous ongoing compliance solutions, including:
- Annual Reviews: RIA Registrar compliance consultants ensure that all documents are correctly prepared and forwarded to the proper agencies. Our team has experience with both state and SEC regulators. In the event of an audit, we not only provide advice regarding the documents required for the audit but also deal with the auditors as needed.
- Registration Reviews: We help you review your documents so that your records are always in compliance.
- Fiduciary Training: Continuing education is a vital part of RIA compliance. We offer ongoing fiduciary trainings solutions, including webinars and mock audits.
- Marketing Media: We asses all your RIA marketing media and provide advice to keep you within the parameters of SEC advertising rules.
- Books and Record Keeping: As a part of RIA Registrar’s record keeping services, we assist you in determining which RIA financial and administrative records to keep.
RIA registration and compliance is our specialty. You focus on yours: Generating revenue for your clients while running a profitable financial practice.
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