RIA Initial Registration

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If you’re a breakaway advisor looking to start your own Registered Investment Adviser (RIA) and want to incorporate alternative investments as part of your solution set, Aliso Compliance can be your one-stop-shop.  Not only can we can help you get your RIA registered, we can provide you with all the necessary policies, procedures, forms, and transactional materials. You’ll be up and running in a fraction of the time and cost of doing it yourself.

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During the registration process, you will have access to industry experts who will guide you through the registration process as well as receive regular updates on your registration progress. During the first three months, you will receive unlimited Form ADV changes. And, once you’re registered, you will receive post-registration consultation with a compliance expert.

 

Included Standard Documents

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• Registration Filings

• FINRA Entitlement

• ADV Part 1 (online)

• ADV Part 2A (PDF and Word Doc)

• Form U4 for One Representative

• Form ADV Part 2B for One Representative

• Additional Filing Documents & Regulatory Paperwork

• Filing in Primary Jurisdiction

 

Please note that additional fees apply for the registration of additional individual representatives and registering the firm in additional jurisdictions. State/SEC filing fees, FINRA filing fees, and exam fees are additional costs and go directly to the agencies.

 

Tailored Documents to Your Firm

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• Investment Advisory Contract

• Privacy Policy Statements

• Policies & Procedures / Compliance Manual

• Code of Ethics

• Business Continuity Plan (BCP)

• Information Security Policy

 

Adding Additional States

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While the description of your firm’s services and fees should remain constant across the jurisdictions (states) in which the firm is applying, different jurisdictions can have vastly different disclosure requirements. Aliso Compliance will guide you through this process, creating and amending documents to ensure they are in compliance across all state jurisdictions.

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A registered investment adviser must generally register in any state in which it has a physical location, a representative physically located, has more than 5 clients (or just 1 client in regards to Texas and Louisiana), or is actively soliciting in the state. 

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Adding Additional Representatives

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All individual representatives of your firm need to be registered to the RIA if they are providing or generating advice. In general, all executive officers or people who have control of the RIA should also be registered to the firm. Registration includes filing a Form U4, ensuring the testing requirements or testing exemptions are satisfied, creating a Form ADV Part 2B brochure supplement and, in most cases, uploading that the Form ADV Part 2B to FINRA’s WebCRD system.