Download our free guide to build a strong, compliant foundation for your new advisory firm.
Whether you’re newly registered or preparing to file, your first year as a registered investment adviser (RIA) is packed with important decisions. From marketing your services and setting up your tech stack to documenting compliance tasks and preparing for exams, the choices you make now will shape your firm’s future.
Beyond the Launch: Your First Year as a Registered Investment Adviser is your trusted roadmap to getting it right. Designed specifically for new and soon-to-be RIAs, this guide walks you through:
- Establishing your value proposition and growth strategy
- Avoiding common pitfalls under the SEC Marketing Rule
- Building and managing a compliance calendar
- Selecting integrated tech tools that scale with your firm
- Getting audit-ready with confidence and clarity
With checklists, best practices, and practical insights, this guide gives you the foundation you need to thrive in a regulated environment without losing your focus on client service.