Registration Services

What's included?

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. 

Laying the Foundation for Compliance

We help you establish the core elements of a strong compliance program, right from the start. 

• A Policies and Procedures Manual customized to your firm’s services, such as discretionary advisory, wrap programs, private funds, or model portfolios 

• A Business Continuity Plan and Code of Ethics aligned with Rule 206(4)-7, The Compliance Program Rule 

• A compliance manual with practical procedures your staff can easily follow – and regulators expect to see 

Additional Registration Services Offered by Comply

Our team manages the technical filings and documentation that bring your firm into compliance, ensuring accuracy, timeliness, and regulatory alignment. 

• FINRA Entitlement – We handle the entitlement forms, submission, monitoring, and user permissions for the FINRA WebCRD/IARD system used to process RIA registrations. 

• Form ADV Part 1 – Completed accurately with all required schedules to disclose essential firm information. 

• Form ADV Part 2A – A customized 2A describing services, fees, and disclosures, tailored to your business model, compliant with jurisdictional requirements, and branded with your logo. 

• Form ADV Part 2B (for one representative) – Prepared for executive officers or advisers working with clients, capturing employment, education, conflicts, and disciplinary background. 

• Form ADV Part 3 (Form CRS) – A plain-English, client-facing relationship summary designed to SEC standards and delivered in a compliant, two-page-max format. 

• Form U4 (for one representative) – Completed and filed through FINRA’s WebCRD system with accurate employment, background, and disclosure details, feeding directly into the SEC’s public IAPD database. 

Beyond these core filings, Comply can create state-specific documents your regulators may require, and manage all correspondence with examiners – including responding to deficiency letters to keep your application moving.