RIA Registrar leads the way in RIA compliance with SEC and state regulations.Speak with An Expert Today
Why do so many top RIA firms choose RIA Registrar to provide their services? Our high-quality services allow independent financial advisors to concentrate on taking care of clients while ensuring they are not in violation of any government regulations. You cannot afford to ignore the U.S. Securities and Exchange Commission (SEC), but you may lack the time to properly address compliance consultant, offering services ranging from RIA Registration to errors and omissions insurance.Learn more about RIA Compliance Learn more about RIA Registration
RIAs are fiduciaries that are held to a high standard of conduct. You must protect your clients’ best interests and give only sound investment advice. But you may find yourself unable to properly address another huge component of being an RIA: compliance with SEC and state regulations. RIA Registrar provides turnkey solutions that address all the needs of registered investment advisors and their practices through all the different stages of growth, whether you just passed the Series 65 exam (Uniform Investment Adviser Law Examination) or are part of an established firm.
RIA compliance requirements of both state regulators and the SEC change each year. RIA Registrar’s team is made up of experienced professionals, including compliance and registration specialists. We guarantee our prices are the best you will find for services of this typer. We design unique solutions individually suited for your firm. We keep you in compliance while you take care of your clients.