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SEC and State Registration requirements are complex and difficult to navigate. Despite the fact that an investment advisor is able to understand the intricacies of the markets, dealing with the registration process is best left to specialists. RIA Registrar understands the requirements of registration and can also guide prospective RIAs. This includes walking you through the required examinations and necessary paperwork as well as what to expect throughout the process.
Registration requirements and state regulations exist to ensure only qualified individuals are providing financial advice. In most cases, a part of the registration process is the formation of a corporate entity. RIA Registrar provides services to set up the proper corporation for your needs.
Many prospective RIAs and investment firms are unsure of where they must register. The question of SEC registration versus state registration is solved by looking at your total Assets Under Management (AUM). Generally, the following applies:
You may think you can handle all the tasks necessary to become a registered investment advisory firm. However, consider the following:
The requirements for becoming a state registered investment advisor involve filing the same documents through the IARD, plus additional documents to the securities regulators of any state in which they have a place of business.