We have been using your team for about a year now. They have been great to work with. Amy usually answers the phone and always provides exceptional customer service. I would highly recommend your services to anyone looking for RIA compliance.
We are a small office; every employee “wears many hats”. We came to the RIA Registrar with very little knowledge about the regulations or process of becoming an RIA firm. The team at the RIA Registrar was extremely knowledgeable and helpful. They created a plan, then held our hand and guided us every step of the way. We could not have navigated the process without you!
We found very high value and comfort in being able to speak with you live. We took advantage of your responsiveness by constantly asking for help and information. We called with everything from: How do I fill out this form? What should our business cards look like? Can you review and give feedback on all of our marketing material? What should our firm name be? How should we structure our new company? And as you know, so much more! We literally needed help with everything and your voice on the other end of the phone was very much appreciated. Your response time exceeded our expectations.
Simply, thank you!
The initial process was great. Matt was outstanding throughout the process, and really made things understandable and easy. I have been more than satisfied with RIA Registrar.
Nothing but rave reviews here. [...] You were prompt, very responsive, and took all the time that I needed to answer my questions. At [the beginning], when I had no idea what I was getting myself into or what questions to ask, your patience and thoroughness is why I ultimately chose to go with RIA Registrar. Once I had selected you guys and I was transitioned to [another representative], he also had the same level of customer service, very prompt, very responsive, and took as much time as needed to answer my questions. Because of the level of service I received from both of you, I chose to sign up for the ongoing compliance consultant program — even though it is more expensive than others — specifically because of how good you both were during the time I was confused and nervous as to what I was doing. The rest of your of the team over there that I have had dealings with, though not as frequently, have also provided excellent service whenever requested.
That said, I’m completely satisfied and I’m happy to send referrals your way.
I was impressed with the initial support that I received to allow [my firm] to make the steps to be a RIA. I am very impressed with the continual support that I receive from RIA Registrar!
RIA Registrar has exceeded my expectations in all ways. In a world where mediocrity abounds, RIA Registrar is an island of excellence. Sheri and all her staff provide exemplary service and advice in the increasingly complex world of compliance. They made my registration process worry-free and their ongoing compliance consulting provides peace of mind for me. I recommend the services of RIA Registrar without hesitation.
Whenever I called, she always took the time to recognize me by name and be sure I was connected with the people who could answer my questions. She also took the initiative (and as a former Marine pilot, I love initiative) to also lend a hand directly when needed. Outstanding job from a very fine professional.
What a team… I am jealous.
I just wanted to take a moment to express my gratitude for all that RIA Registrar has done to help establish my IA firm. If [my representative] is a reflection of the typical team member at RIA Registrar, there is no limit to what your company can accomplish. (Let me know if you go public.) She not only was able to anticipate every need, when I did have a question, my emails were answered almost instantaneously and my calls — immediately. She is not only a consummate professional, she is a really nice person, possessing people skills that one rarely finds these days in business. I presently serve as an executive VP for my union (essentially a fiduciary) representing over 31 airlines and 51,000 members, along with that I fly as a commercial pilot, so time is truly at a premium for me. What I am getting at here is that she did a truly superlative job working on “my” timeline to get it all done quickly and more importantly, to get it done right! We pilots are really type A (have to be) and very picky, so trust me, this is a real compliment. To put it in our lingo, she has the "right stuff.".
In closing, I just want to say thanks again for all her hard work and I look forward to a long and prosperous relationship with RIA Registrar as my wingman.
I can’t thank you enough for your help! Sheri responded quickly to my questions, followed up with me exactly as promised, and helped me make sure my firm stayed in compliance after going through my first audit with the state of Minnesota. I highly recommend RIA Registrar!
You guys delivered on your promise to simplify the process of making me an independent advisor and handle everything on my behalf. I can truly say that if you have anyone on the fence about going solo have them give me a call. I really can't list all the things RIA has done for my firm, it would take too long. However I will mention an area that is probably on every new candidate's mind …Compliance !
I am totally satisfied with the compliance procedures you developed and I have implemented all of them without changing an item or a word. Furthermore I am amazed at the attention you give us with your constant updating, and periodic reminders. Because of your vigilance in the area I feel secure that we are doing everything necessary to promote a transparent, client centric practice where both the client and ourselves are equally protected.
Advisors who don’t use RIA Registrar’s Maintenance Program are totally out of their minds!
At 6’1”, I might have to stoop way down to give you a “short” plug, but anything I can do I will.
As far as I’m concerned, I couldn’t be in this business without all your support and help from setting up the RIA to helping me stay current on all the paperwork, getting our logo and name designed and setting up the website. Even though, our business so far is small, ya’ll give me the confidence to continue to build. Hopefully, we will one day, even turn a profit.
I cannot think of a better company for an independent RIA firm to work with. RIA Registrar has all the tools and gives the independent firm the back office support it needs to stay in business withoutlosing sleep over compliance issues.
Thanks again for all your help.
Our apprehension in filing for our own RIA was directly related to the process of staying compliant with our documents and registrations. Because of you, starting and maintaining our RIA has been both turnkey and seamless for us. Whenever I call your office I am reminded how grateful I am to have met you and the staff at RIA Registrar!
A quick note of thanks and praise for all your help in setting up and maintaining my RIA. What can I say, you guys (and gals) are extraordinary. The process of forming my RIA and complying with my state’s (New York) labyrinth of requirements and regulations seemed daunting and undoable. You made the process easy, understandable and quick.
I’ve never called and waited on hold, I’ve never come up with a question you can’t answer and I’ve always felt I was treated like family. I can only hope to do as good a job in my business. Keep up the great work.
My experience with RIA Registrar has been nothing but the best! From the very beginning, everyone I spoke with took the time to answer the many questions I had about the best way to structure my business. You can tell they have a lot of experience to draw upon and they are more than willing to share it. When it came time to file my registration with the state, they followed up on it diligently and managed to get it approved in record time! Then it came time for the actual setup of the files and procedures in my office. Their training and assistance was invaluable and made it a breeze. Also, the ongoing maintenance and training webinars are so helpful. I have found that they are helping me learn the correct way to stay compliant right from the start. Thank you for helping me build my business the right way.
RIA Registrar was invaluable to my firm during a recent mandatory audit with the Oklahoma Department of Securities. In fact, the securities department deals directly with RIA Registrar rather than me because RIA Registrar has proven to be efficient and thorough in maintaining my firm’s compliance and has gained the respect of the regulators here with their knowledge of our state’s laws.
RIA Registrar provides a monthly compliance calendar and webinars which are a very useful ongoing tool that ensures I keep my firm compliant with the law. Furthermore, they are responsive to all questions I have had, and are always easy to reach by phone or email.
I had a Pennsylvania's State Securities Examiner stop at my office this past week. I was somewhat apprehensive since I am a fairly new RIA. I just wanted to tell you that because of RIA Registrar, my time with the examiner was actually a pleasure. Everything you had me do setting up files and knowing what the files are for made it great. I was so prepared that the examiner asked who was helping me. I had explained the service you provide and how it helps me do what I need to do on a timely basis. I was with the examiner about five hours and everytime he asked for something I had it in his hands in seconds. I can’t tell you how great a feeling it was to be in control. Bottom line, thank God I use RIA Register. I can sleep at night knowing that they can examine my files anytime and I won’t be in the hot seat.
I would like to take a moment to express my gratitude to RIA Registrar who patiently held my hands though all the steps in starting my RIA firm. The entire team, from sales to receptionist, was very pleasant to work with. RIA is knowledgeable, efficient, and always willing to offer help. All my questions were answered promptly and the registering process was much shorter than I anticipated. I would highly recommend RIA Registrar to anyone who seeks to start an RIA!
Sheri, I just want to let you know that Heather did a fantastic job for me. I've been in business for 45 years and she is one of the tip top service providers I have had the pleasure of working with.
I cannot even put into words how much I admire and appreciate Heather Simmons and her great work. It is unbelievable really - true client service. It has been going on for years now (already). Thank you so much for taking good care of Heather, which translates into great service for me (1 Bluebill Financial). The questions I have to ask Heather, so I can learn, are annoying (even to me). Heather simply answers.
My vision is for "1 Bluebill Financial to be the best Financial Firm/Franchise/Advisor in the nation in terms of compliance, customer service, and efficiency." Not sure how to MEASURE this, but I KNOW we can't get and remain there without RIA Registrar. Very appreciated!
Thank You! Now that I’m past the big move I’m getting organized. It feels good. You guys have been a tremendous help - worth every penny.