RIA Registrar leads the way in RIA compliance with SEC and state regulations.
As fiduciaries, RIAs are held to a high standard of conduct. You must protect your clients’ best interests and give sound investment advice, all while complying with state and/or SEC regulations. That’s where RIA Registrar steps in. We provide turnkey customized solutions to register your RIA and representatives with the SEC or state. Beyond providing registration services for both state and SEC RIAs, we also offer an ongoing compliance maintenance program, assistance with the Series 65 Exam registration, and more.
You can rest assured that our team of experienced professionals, including compliance and registration specialists; will design unique and individually suited solutions to keep you and your firm on track.