Do your current obligations not permit you the time or ability to start your RIA firm?
Can’t afford to wait for months following your resignation while your new firm goes through the regulatory registration and approval process?
If these situations apply, our Advisor Transitons™ RIA Incubaton Service may be the solution for you.
Our Series 65 professionals with extensive industry backgrounds can establish your new RIA firm for you. We'll establish your advisory firm to your unique specifications while you wrap up your existing obligations. When you are ready, there will be a live, fully registered RIA ready for you to take over and begin serving clients.
As part of the AdvisorTransitions™ Service, our experienced Principals will:
- Conduct strategic business planning sessions to assist you in finalizing all aspects of your business plan.
- Assist with custodian, technology and business partnership decisions.
- Work with a designated attorney to establish your legal entity and secure necessary trademarks and website URLs.
- Register your firm with the SEC or State Regulator(s).
- Initiate registration through the Entitlement Process.
- Prepare and file Form ADV Part 1, Part II and supporting schedules.
- Prepare and file State specific requirements.
- File all necessary U-4 and U-10 Forms for IAR registration and Series 65/66 exams.
- Respond to regulator inquiries.
- Develop a customized compliance program tailored to your unique investment and business processes.
- Develop a Client Agreement, consistent with the Form ADV disclosure and your marketing materials.
- Develop an Investment Policy Statement ("IPS") to clarify your obligations to your clients.
When you are ready to assume control, your firm will be ready for you. AdvisorAssist will transfer the firm into the name of your principal owner(s). If a custodial or brokerage relationship has been established, we can assist you with the transition of your client accounts as well as the selection and implementation of technology solutions.
After the completion of your transition, you may continue to leverage the expertise of our professionals through either our Advisor Compliance Solution or customized services to meet you needs.
For additional information on the Advisor Transitions™ Service, please complete the adjacent form or call us at 866.513.4042.
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For more information and pricing, please complete the form below or call us at 866-513-4042.