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Investment Advisor Registration Services
Investment Advisor Registration Services
If your company gives investment advice for a fee, you may need to register as an investment advisor. We help innovative RIA firms handle the process, understand obligations, and move forward with compliance in place.
If your company gives investment advice for a fee, you may need to register as an investment advisor. We help innovative RIA firms handle the process, understand obligations, and move forward with compliance in place.
As seen on:
As seen on:
As seen on:
Eligibility
Eligibility
Who Needs to Register as a Broker-Dealer?
Not every firm involved in securities must register as a broker-dealer, but most entities that buy or sell securities for themselves or on behalf of others are required to. Below are common types of businesses that typically must register.
Digital Investment Platforms
Robo-advisors and apps that offer automated or algorithm-based investment advice, including crypto portfolios with securities.
Digital Investment Platforms
Robo-advisors and apps that offer automated or algorithm-based investment advice, including crypto portfolios with securities.
Asset Managers
Firms that manage investment portfolios on behalf of individuals or institutions, with discretionary authority over trades or allocations.
Asset Managers
Firms that manage investment portfolios on behalf of individuals or institutions, with discretionary authority over trades or allocations.
High-Touch Advisory Firms
Traditional or hybrid advisory firms offering customized investment strategies, paid either by fee or a percentage of AUM.
High-Touch Advisory Firms
Traditional or hybrid advisory firms offering customized investment strategies, paid either by fee or a percentage of AUM.
Advisors to Funds
Companies that provide investment advice to private funds or pooled investment vehicles, including hedge funds and venture funds.
Advisors to Funds
Companies that provide investment advice to private funds or pooled investment vehicles, including hedge funds and venture funds.
Steps
Steps
How to Register as an Investment Advisor
01
Decide Where to Register
If you manage over $100M or meet certain criteria, you’ll likely register with the SEC. Smaller firms usually register at the state level.
01
Decide Where to Register
If you manage over $100M or meet certain criteria, you’ll likely register with the SEC. Smaller firms usually register at the state level.
02
Create and Submit Form ADV
File Form ADV through IARD. This includes both structured information and your firm brochure.
02
Create and Submit Form ADV
File Form ADV through IARD. This includes both structured information and your firm brochure.
03
Register Your Team with Form U4
Most advisors must register their individual representatives and meet exam requirements set by each state.
03
Register Your Team with Form U4
Most advisors must register their individual representatives and meet exam requirements set by each state.
04
Build Out Your Compliance Program
Before going live, you’ll need written policies, a designated compliance officer, and systems to track and supervise your activities.
04
Build Out Your Compliance Program
Before going live, you’ll need written policies, a designated compliance officer, and systems to track and supervise your activities.
05
Wait for Approval
SEC reviews are typically completed within 45 days. State timelines vary and may involve back-and-forth.
05
Wait for Approval
SEC reviews are typically completed within 45 days. State timelines vary and may involve back-and-forth.
How We Help
How We Help
How We Support Investment Advisor Registration
We help fintechs and other firms get registered and ready to operate by handling the details regulators typically care about. From drafting Form ADV to helping you build your compliance program, we take care of the work most teams don’t have time for. Whether you’re just starting out or spinning up a new advisory model, we can plug in fast, adapt to your systems, and help you mitigate regulatory risks.
01
State/SEC Application Preparation
Preparing and submitting your RIA application to either the SEC or relevant state securities regulator, based on your firm’s size and structure.
01
State/SEC Application Preparation
Preparing and submitting your RIA application to either the SEC or relevant state securities regulator, based on your firm’s size and structure.
01
State/SEC Application Preparation
Preparing and submitting your RIA application to either the SEC or relevant state securities regulator, based on your firm’s size and structure.
02
Form ADV Drafting
Drafting and formatting Form ADV Parts 1 and 2 for initial RIA registration through the IARD system, based on your firm’s structure and advisory services.
02
Form ADV Drafting
Drafting and formatting Form ADV Parts 1 and 2 for initial RIA registration through the IARD system, based on your firm’s structure and advisory services.
02
Form ADV Drafting
Drafting and formatting Form ADV Parts 1 and 2 for initial RIA registration through the IARD system, based on your firm’s structure and advisory services.
03
Support with Information Gathering
Guidance and tools to help you collect the internal information needed for your RIA registration filings, including business details, service structure, and ownership data.
03
Support with Information Gathering
Guidance and tools to help you collect the internal information needed for your RIA registration filings, including business details, service structure, and ownership data.
03
Support with Information Gathering
Guidance and tools to help you collect the internal information needed for your RIA registration filings, including business details, service structure, and ownership data.
04
Regulator Communications and Follow-Up Response Support
Support during the review phase of your application, including help responding to regulator questions or document requests.
04
Regulator Communications and Follow-Up Response Support
Support during the review phase of your application, including help responding to regulator questions or document requests.
04
Regulator Communications and Follow-Up Response Support
Support during the review phase of your application, including help responding to regulator questions or document requests.
05
Strategic Guidance on Regulatory Requests
Advisory input on how to respond to complex or sensitive questions from regulators during the RIA registration process.
05
Strategic Guidance on Regulatory Requests
Advisory input on how to respond to complex or sensitive questions from regulators during the RIA registration process.
05
Strategic Guidance on Regulatory Requests
Advisory input on how to respond to complex or sensitive questions from regulators during the RIA registration process.
Resources
Resources
Latest Content
Articles
Articles
FAQ
FAQ
Frequently Asked Questions
Frequently Asked Questions
What is required to register as an RIA?
What is required to register as an RIA?
How long does it take to register as an RIA?
How long does it take to register as an RIA?
If I launch a robo-advisor, do I still need to register as an RIA?
If I launch a robo-advisor, do I still need to register as an RIA?
Do I need to register in every state where I have clients?
Do I need to register in every state where I have clients?
Get Registered as an Investment Advisor
Get Registered as an Investment Advisor
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Who We Serve
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9100 S Dadeland Blvd
Suite 1500
Miami, Florida 33156
Who We Serve
By Regulatory Vertical
By Company Type
Compliance and Operations
By Function
By Compliance Role
Licensing and Registrations
By Regulator
By Sector
By Framework
Resources
About InnReg
9100 S Dadeland Blvd
Suite 1500
Miami, Florida 33156