RIA Registrar
Serving the Independent Advisor
 Call us! (800) 441-1219

We’ll help you operate in good standing so you can run a Profitable Financial Practice.

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About Us

People have some pretty funny ways of differentiating the “front office” from the “back office.” For some, it is as simple as the front office makes the money while the back office makes sure everything is in order. Others compare the two to a sports team made up of front office “star” players and back office “journeymen” players; the journeymen do the work that allows the stars to shine.

At RIA Registrar, we are okay with being the supporting players, making it possible for our clients to make names for themselves. We just work quietly in the background, making sure that everything is in order for you and your firm to shine.

We take the time to share our knowledge with our clients so that they have the best registration support, training, and compliance service experiences. With our help, the entire process of setting up a firm and properly maintaining it is a little less overwhelming.

RIA Registrar is Here to Help

Do you need help with state and/or SEC registration issues? RIA Registrar has individuals dedicated to the registration process at both the state and federal levels. We come from various business backgrounds, such as law firm administration, financial planning, licensing, and the insurance, investments and health care fields. All of us are devoted to making the registration process as smooth as possible.

If you are an established firm, RIA Registrar takes the reins in order to keep you on the right road to compliance. We bring a wealth of knowledge and experience to you garnered from years of experience working in the “back office.”

Whatever your niche, RIA Registrar is here to support you. We have been in the “back office” business of providing support and compliance services to investment advisors for 7 years, and we look forward to assisting new clients in the future as well as taking care of established clients.

See Our Team

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