RIA Initial Registration

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RIA Initial Registration

Establishing a Registered Investment Adviser requires expert navigation of complex regulatory requirements. Aliso Solutions streamlines your registration process by providing comprehensive setup and compliance infrastructure development, saving you significant time and resources compared to managing the process independently.

Registration Process & Documentation We handle all aspects of your initial registration:

• FINRA Entitlement setup

• Form ADV Part 1 online filing

• Form ADV Part 2A preparation and filing

• Form U4 processing

• Form ADV Part 2B creation

• Primary jurisdiction filing management

• Unlimited ADV amendments during first three months

• Post-registration compliance consultation

Core Compliance Documentation We develop customized compliance materials essential for your operations:

• Investment Advisory Contracts

• Comprehensive Compliance Manual and WSPs

• Privacy Policy Statements

• Code of Ethics

• Business Continuity Plan

• Information Security Policies

Multi-State Registration Support We guide firms through the complexities of multi-state registration, ensuring compliance with varying jurisdictional requirements. Registration is typically required when your firm:

• Maintains a physical location in a state

• Has representatives located in a state

• Exceeds state-specific client thresholds

• Actively solicits in a state

Representative Registration We manage the registration process for all your representatives, including:

• Form U4 filings

• Qualification examination requirements

• Form ADV Part 2B supplement creation

• FINRA WebCRD system management

Note: State/SEC filing fees, FINRA filing fees, and exam fees are additional costs paid directly to regulatory agencies. Additional fees apply for registering representatives beyond the primary representative and for additional state jurisdictions.