Investment Adviser Registration

You’ve made the decision to start your own RIA firm. Congratulations! But, now what? There are a multitude of factors to take into consideration when registering your firm, not the least of which is whether your firm will be registered with the state or the SEC. Ready to register? We can help.

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State and SEC Registration

Ready, Set, Register.

Thousands of advisers have relied on the expertise of our team of industry professionals and former regulators during their registration and business planning process. And we can do the same for you! Our team will be by your side every step of the way, providing critical resources, including providing a curated list of organizations that we regularly work with to assist with other legal or business services you may need.

Filings include:

  • FINRA Entitlement
  • Form ADV Part 1
  • Form ADV Part 2A
  • Form ADV Part 3
  • Form U4 for One Representative, additional are extra
  • Form ADV Part 2B for One Representative, additional are extra
  • Additional filings documents and regulatory paperwork
  • Filing in primary jurisdiction, additional are extra
  • Code of Ethics
  • Policies and Procedures Manual
  • Investment Advisory Agreement
  • Financial Planning Agreement
  • Privacy Policy
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Register your RIA with ease. Register your RIA with the support of COMPLY.

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STRAIGHT FROM THE USERS

Client Testimonials

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“The customer service at COMPLY is special. They are all extremely knowledgeable and friendly. I appreciate the team always allows me the opportunity to walk through the product and learn, so I can reduce the times I must reach out again in the future.” – Jackie Jacobs, VSS

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“I love that the company has created a culture that solicits feedback to continually evolve the product to fit the customers’ needs. The support team is incredibly knowledgeable, and it shows!” – David Becker, CFIP

Why COMPLY?

DIRECT BROKER FEEDS

Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.

DATA INTEROPERABILITY AND APIs

Powerful integration capabilities facilitate data connections between our platform and other industry-leading solutions, enhancing communications, increasing efficiency, and providing a seamless customer experience.

EDUCATION

Decades of regulatory expertise power COMPLY’s premier compliance education programs. With courses designed for CCOs, IARs, and more, COMPLY empowers our clients to elevate their program and their career…raising the standard of regulatory compliance across the industry.

SOLUTION AND SERVICE INNOVATION

Incorporating direct feedback from COMPLY’s portfolio of firms, we continuously implement the enhancements that matter most to our clients. We go beyond technology to offer a breadth of services and solutions designed to meet our clients’ unique needs and challenges, including digital asset trade monitoring, compliance program management, consulting services, compliance education, and more.

REGULATORY EXPERTISE

The COMPLY team is comprised of former CCOs, former regulators, and experienced lawyers. We understand the challenges you face because we’ve been there. Our deep bench of industry expertise – which includes expansive knowledge in technology enablement and regulatory compliance protocols and processes – supports more than 7,000 clients.

AWARD-WINNING CUSTOMER SERVICE

Let us be an extension of your back office and provide support from our dedicated subject matter experts when you need it most. Customer support is available 24/5.

Registration with Confidence

Ready to register with the state or SEC? Schedule time to speak with an expert and learn more about how COMPLY can help you on your journey.

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WITH CONFIDENCE.

FEATURED
The Ultimate New Registration Toolkit

Download COMPLY’s Ultimate New Registration Toolkit for the guides and resources you need to start your registration journey.

DOWNLOAD NOW!