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.
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As seen on:
Eligibility
Eligibility
Who Needs to Register as an Investment Advisor?
Investment advisor registration applies to more than just traditional firms. If your business model includes paid investment guidance, you may need to register. Here are examples of companies that typically fall within the definition.
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.
Resources
Resources
Latest Content
Articles
Apr 22, 2025
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16 min read
Articles
Apr 22, 2025
·
16 min read
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
Who We Serve
Compliance Services
Compliance Consulting
Compliance Operations
Licensing Services
Resources
About InnReg
The content provided on this website is for informational purposes only and does not constitute legal, investment, tax, or other professional advice. InnReg LLC is not a law firm, tax advisor, or regulated financial institution. Viewing this site or contacting InnReg does not create a client relationship. Results described in case studies or testimonials may not be typical and do not guarantee future outcomes. Tools, spreadsheets, or guides available on this site are provided for illustrative purposes only and should not be relied upon without professional guidance. Any links to third-party websites are provided for convenience and do not constitute endorsement or responsibility for their content. The information on this site may not be applicable in all jurisdictions. While we strive to provide accurate content, we make no representations as to its completeness or timeliness. Some visual assets on this site are sourced from Freepik.
Who We Serve
Compliance Services
Compliance Consulting
Compliance Operations
Licensing Services
Resources
About InnReg
The content provided on this website is for informational purposes only and does not constitute legal, investment, tax, or other professional advice. InnReg LLC is not a law firm, tax advisor, or regulated financial institution. Viewing this site or contacting InnReg does not create a client relationship. Results described in case studies or testimonials may not be typical and do not guarantee future outcomes. Tools, spreadsheets, or guides available on this site are provided for illustrative purposes only and should not be relied upon without professional guidance. Any links to third-party websites are provided for convenience and do not constitute endorsement or responsibility for their content. The information on this site may not be applicable in all jurisdictions. While we strive to provide accurate content, we make no representations as to its completeness or timeliness. Some visual assets on this site are sourced from Freepik.
Who We Serve
Compliance Services
Compliance Consulting
Compliance Operations
Licensing Services
Resources
About InnReg
The content provided on this website is for informational purposes only and does not constitute legal, investment, tax, or other professional advice. InnReg LLC is not a law firm, tax advisor, or regulated financial institution. Viewing this site or contacting InnReg does not create a client relationship. Results described in case studies or testimonials may not be typical and do not guarantee future outcomes. Tools, spreadsheets, or guides available on this site are provided for illustrative purposes only and should not be relied upon without professional guidance. Any links to third-party websites are provided for convenience and do not constitute endorsement or responsibility for their content. The information on this site may not be applicable in all jurisdictions. While we strive to provide accurate content, we make no representations as to its completeness or timeliness. Some visual assets on this site are sourced from Freepik.