Start A New RIA Firm

/Start A New RIA Firm

RIA State Registration Guidelines for Investment Advisors

A Basic Guide To RIA State Registration Guidelines for Investment Advisors As an investment advisor you are most likely required* to register with the state(s) in which your main office is located or with the Securities and Exchange Commission (SEC). If an advisor has over $100 million in aum they are required to register with [...]

Setting Up A RIA Firm

Setting Up A RIA Firm The reasons to become an independent Registered Investment Advisor (RIA) are numerous and the benefits can be extraordinary. As an RIA you are in 100% control, from the financial planning software you choose to where you where you decide to custody your assets. The biggest hurdles you will run into are the decisions [...]