Licensing & Notice Filing For RIA Firms

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State & SEC registration outsourcing is what we do. As a RIA, you are in 100% control, from the vendors and business partners you choose to where you decide to custody assets.   Registering in additional states or with the SEC takes quite a bit of time, energy and focus away from your advisory business.  This is why most successful RIA firms and CCOs choose to outsource the registration process to a third party compliance firm.  By choosing Aurora Compliance Solutions to handle an additional state or SEC registration is money well spent. The time and energy saved from outsourcing allows you to maintain a focus on your clients and prospects.

SEC Registration

The SEC registration process takes time and patience. Outsourcing the SEC registration process allows you to maintain a focus on growing and maintaining existing client relationships.

Performance Advertising

$100+ Million in AUM

Customized forms and docs go a long way toward the success of your firm.
RIA Marketing Reviews

15+ States

A compliance review of your firms content will save you a significant amount of time.

Social Media

RIA firms should embrace technology cautiously and make sure that all content is compliance approved, documented, and maintained.

Compliance Manual

Ret Plan $200+ million

Your Compliance Manual needs to be compliance approved and customized to your firm.

IARD System

The FINRA IARD system maintains your firms ADV Part 1A & 1B and needs to be up to date, accurate, reviewed and updated at least annually.
Customized RIA Forms & Docs

SEC Registered

Customized forms and docs go a long way toward the success of your firm.

First Impressions

Aurora’s forms and docs are compliance approved and customized to your firm because you never get a second chance to make a first impression.

RIA Marketing Reviews

De Minimis Rules

A compliance review of your firms content will save you a significant amount of time.

Social Media

RIA firms should embrace technology cautiously and make sure that all content is compliance approved, documented, and maintained.

Compliance Manual

State Filing

Your Compliance Manual needs to be compliance approved and customized to your firm.

IARD System

The FINRA IARD system maintains your firms ADV Part 1A & 1B and needs to be up to date, accurate, reviewed and updated at least annually.

State Notice Filing

The state and SEC registration process takes time and that time spent does not help your core business. Outsourcing the registration process allows you to maintain a focus on growing and maintaining existing client relationships.

IAR Licensing

The state and SEC registration process takes time and that time spent does not help your core business. Outsourcing the registration process allows you to maintain a focus on growing and maintaining existing client relationships.

Customized RIA Forms & Docs

U4

Customized forms and docs go a long way toward the success of your firm.

First Impressions

Aurora’s forms and docs are compliance approved and customized to your firm because you never get a second chance to make a first impression.

RIA Marketing Reviews

Series 65

A compliance review of your firms content will save you a significant amount of time.

Social Media

RIA firms should embrace technology cautiously and make sure that all content is compliance approved, documented, and maintained.

Compliance Manual

Exemptions

U4

The FINRA IARD system maintains your firms ADV Part 1A & 1B and needs to be up to date, accurate, reviewed and updated at least annually.
New State Notice Filing

We’re here to help keep your business moving forward.