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Navigate registration with confidence
The registration process is complex. Requirements vary by jurisdiction, and mistakes can lead to delays, deficiencies, or penalties. Comply’s industry professionals guide firms through every step – helping you register accurately and prepare for compliance from day one.
Our experts are here to help you establish and register your firm. Call 866-343-1278 to get started.
Whether you’re launching a new RIA or expanding to new jurisdictions, Comply supports every aspect of SEC and state registration, including post-approval compliance readiness. Registration Services Include:
Keep your investment adviser representatives properly registered across jurisdictions with Comply’s streamlined IAR registration support.
We Manage:
Navigating the FINRA membership process is complex. Comply simplifies every step – from New Membership Applications to liaising with examiners – so you can focus on your business.
What We Deliver:
Comply has helped thousands of advisors launch their own firms and we can’t wait to show you what’s possible.
Our role is to simplify a highly detailed process while ensuring filings meet jurisdictional requirements.
FINRA Entitlement
To file an RIA application, firms must first request a FINRA WebCRD/IARD Entitlement account. While RIAs are not regulated by FINRA, both the SEC and states use this system to process registrations.
Comply handles the entitlement forms, submission, monitoring, and user permissions.
ADV Part 1
The core of your registration. This online filing discloses key information about your firm. Comply completes Part 1 and all required schedules accurately to meet SEC and state requirements.
ADV Part 2A (PDF and Word Doc)
Form ADV Part 2A acts as your firm’s brochure, describing services, fees, and disclosures. It must be provided to all current and prospective clients in clear, plain English.
Comply develops a customized Part 2A tailored to your business model, ensuring it meets jurisdictional requirements. We deliver a compliant, accurate, and branded brochure with your firm’s logo.
Form ADV Part 3 (Form CRS)
Form ADV Part 3 (Form CRS) is required for SEC-registered RIAs serving retail investors. It must be written in plain English, no longer than two pages, filed publicly, and provided to all clients.
Comply creates a Form CRS tailored to your business model, ensuring it meets SEC requirements.
Form U4 for One Representative
Form U4 is the online filing used to register an individual with an RIA firm through FINRA’s WebCRD system. It must be accurate and include biographical, residential, employment, outside business activity, and disciplinary history. The information is filed with the appropriate jurisdictions and feeds into the SEC’s public Investment Adviser Public Disclosure (IAPD) database.
Form ADV Part 2B for One Representative
Form ADV Part 2B is the paper brochure that Investment Adviser Representatives must provide to clients. This form contains employment, educational, conflict of interest, and disciplinary information. Generally, executive officers, any person providing investment advice to clients, and any representative advising clients must have a Form ADV Part 2B.
Additional Filing Documents & Regulatory Paperwork
Many states require additional supplementary documents to be created which are unique to an individual state’s regulatory requirements. Comply will create these supplementary documents and file them with the state(s) as required.
Filing in Primary Jurisdiction
Comply will handle all required filings and ongoing correspondence with the relevant jurisdiction(s). Our experienced team will also address all deficiency letters on your behalf in a timely and compliant manner to ensure the registration process moves as quickly as possible.
