Get off to the right start with your advisory firm. Whether you need a little help getting started or a turnkey solution, AdvisorAssist can tailor a program to meet the unique needs of your firm.
The Advisor Registration Essentials™ service provides you with expert assistance to get your new RIA firm up and running as quickly as possible. Advisor Registration Essentials™ is a comprehensive solution that allows you to leverage our experience and guidance to prepare complex registration and compliance documents. Our comprehensive solutions include:
| Standard | Premium | |
| Business and Regulatory Consultation |  |
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| Custodian Selection | |
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| Research applicable SEC or State requirements | |
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| Obtain entitlements for the IARD System | |
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| Draft and file Form ADV Part 1A and 1B | |
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| Draft and file Form ADV Part II and Schedules | |
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| Prepare Form U-4 (Uniform Application for Securities Industry Registration or Transfer) or Form U-10 Uniform Examination Request for non-FINRA Candidates) | |
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| Scheduling of Series 65 or Series 66 exam | |
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| Prepare state specific requirements for primary state, as applicable | |
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| Responding to regulatory inquiries and deficiency comments | |
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Compliance Policies and Procedures, including:
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D-I-Y Toolkit | Customized |
| Client Advisory Contract | D-I-Y Toolkit | Customized |
| Investment Policy Statement | D-I-Y Toolkit | Customized |
| Access to AdvisorAssist Resources™, our online advisor resource center | |
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| Access to Advisor InSights™ newsletter periodic email updates | |
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| Ongoing compliance and regulatory support | Optional | Optional |
Advisor Registration Essentials™ is recommended for firms intending to register with the SEC and/or one state, that have registered personnel with clean disciplinary histories, and have simple organizational structures (e.g., no affiliated broker/dealers or alternative funds). Additional fees may apply to firms filing in multiple states, where there are prior U-4 disclosures, or have affiliations with other financial services firms.
Please call us at 866.513.4042 or complete the adjacent form to discuss your specific situation and obtain pricing for complex situations.
Request Information
For more information and pricing, please complete the form below or call us at 866-513-4042.
