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RIAs

Services

Licensing and Registrations

By Vertical

RIAs

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.

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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.

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Learn More About RIAs

Learn More About RIAs

RIA Registration
Form ADV for RIAs
Form U4 for RIAs
RIA Compliance
RIA Approval

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.

RIA Registration

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.

Form ADV for RIAs

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.

Form U4 for RIAs

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.

RIA Compliance

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.

RIA Approval

05

Wait for Approval

SEC reviews are typically completed within 45 days. State timelines vary and may involve back-and-forth.

Resources

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View All

FAQ

Frequently Asked Questions

Frequently Asked Questions

What is required 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?

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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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.

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Learn

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About InnReg

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Terms of Use

© 2026 InnReg LLC

305-908-1160

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.

LinkedIn Innreg
X InnReg

9100 S Dadeland Blvd
Suite 1500
Miami, Florida 33156

Who We Serve

By Vertical

Broker-Dealers

Registered Investment Advisors (RIA)

Alternative Trading Systems (ATS)

Money Services Businesses (MSBs)

Lenders

Payment Services

Crowdfunding Portals

Digital Banking

Crypto and Blockchain

Forex Brokers

Banks

Compliance Services

By Function

Policies and Procedures

Regulatory Exams

Regulatory Strategy

Bank Partnerships

Licensing

Staffing

Supervision

Surveillance

Advertising

Communications

Recordkeeping

KYC

AML

Cybersecurity

Vendors

Training

Filings

Testing and Audit

Licensing Services

By Vertical

Broker-Dealer Registration

Investment Advisor Registration

MSB Registration

Money Transmitter License

Currency Exchange License

Check Casher License

Lender License

Payment License

Crowdfunding Portal Registration

Crypto License

Forex Broker License

Resources

Learn

Blog

Case Studies

Regulatory Updates

FINRA Rules

Downloads

Ebooks

Spreadsheets

About InnReg

Company

Who We Are

Why InnReg

Regly

Careers

Referral Program

Contact Us

Legal

Privacy Policy

Terms of Use

© 2026 InnReg LLC

305-908-1160

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.

LinkedIn Innreg
X InnReg

9100 S Dadeland Blvd
Suite 1500
Miami, Florida 33156