You’ve made the decision to start your own RIA firm. Congratulations! But, now what? There are a multitude of factors to take into consideration when registering your firm, not the least of which is whether your firm will be registered with the state or the SEC. Ready to register? We can help.
Thousands of advisers have relied on the expertise of our team of industry professionals and former regulators during their registration and business planning process. And we can do the same for you! Our team will be by your side every step of the way, providing critical resources, including providing a curated list of organizations that we regularly work with to assist with other legal or business services you may need.
Filings include:
“The customer service at COMPLY is special. They are all extremely knowledgeable and friendly. I appreciate the team always allows me the opportunity to walk through the product and learn, so I can reduce the times I must reach out again in the future.” – Jackie Jacobs, VSS
“I love that the company has created a culture that solicits feedback to continually evolve the product to fit the customers’ needs. The support team is incredibly knowledgeable, and it shows!” – David Becker, CFIP
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
Ready to register with the state or SEC? Schedule time to speak with an expert and learn more about how COMPLY can help you on your journey.
Download COMPLY’s Ultimate New Registration Toolkit for the guides and resources you need to start your registration journey.
