RIA Registration & Compliance Services

RIA Registrar, LLC is a registration and compliance consulting firm for independent registered investment advisors (RIAs). We provide state and Securities and Exchange Commission (SEC) registration services as well as compliance and administration solutions that enable RIAs to operate in good standing. We help firms understand the language of compliance and work relentlessly to ensure you’re ready to be an independent, and compliant, RIA. Our high-quality services allow you to concentrate on what’s truly important: taking care of your clients.

Are you starting an RIA?

We will support you every step of the way to get your firm established quickly and compliantly.

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RIA Registration

Receive personal guidance through the RIA registration process Learn More

RIA Compliance

Ensure your firm is continually in RIA compliance Learn More

E&O Coverage

Access Error and Omission Insurance for all compliance clients Learn More

Series 65 Exam

Get preparation assistance for the Series 65 Exam Learn More

RIA Registrar has helped over 2,000 firms successfully register across all 50 states and with the SEC. Furthermore, the quality of our work has helped us gain status as a preferred vendor with multiple custodians.

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.

The support your business needs.

You provide high-quality services and advice to your clients. Let RIA Registrar provide your firm the same. Through our RIA Compliance Program, we offer ongoing support and training to ensure your firm has the necessary tools to remain compliant.

Document Maintenance

To ensure that a regulatory review reveals no discrepancies or omissions, it is imperative that firms employ efficient and effective records management systems.

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Annual Renewal

We ensure that all required documents and fee payments are correctly prepared and forwarded to the proper agencies and assist with EDGAR filings if applicable.

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Marketing Review

RIA Registrar will help you avoid regulatory traps and compliance issues by providing proactive insight on areas of concern. If we think an area of your firm raises a red flag, we’ll let you know before a regulator does.

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Books and Record Keeping Assistance

As a part of RIA Registrar’s record keeping services, we assist you in determining which RIA financial and administrative records to keep.

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Fiduciary Training and Education

Continuing education is a vital part of RIA compliance. We offer ongoing fiduciary trainings solutions, including webinars and mock audits.

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You work hard for your clients.

Let us work hard for you as your back-office support for all your regulatory and compliance needs.

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