You’ve built a career on trust, integrity, and doing what’s right for your clients. But as the industry continues to evolve, you may be questioning whether your current structure still gives you the…
The Simplified Path to Independence
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RIA Registration & Compliance Made Simple
Built for Advisors, by Advisors — we simplify the complex so you can focus on growing your firm and serving your clients.
Simple Solutions for Challenging Needs
Registration, compliance, and expert guidance — all in one place.
RIA Registration
Launch Your RIA with Confidence: We take the complexity out of starting an RIA by managing the filings, documents, and regulator correspondence for you. The outcome: a properly established firm built on a solid compliance foundation and ready to serve clients from day one.
Ongoing Compliance
Complete Year-round Compliance Support: Filings, technology, archiving, reviews, and support — to keep your firm audit-ready. Compliance isn’t a one-time task; it’s an ongoing responsibility. Our program blends expert oversight with technology to keep you organized, proactive, and confident that your firm is always prepared for regulatory requirements.
Hourly Compliance Consulting
Custom Solutions for Growth and Compliance: Not every firm needs the same thing at the same time. Our hourly services give you flexibility to tackle projects on demand — from building foundational compliance documents to addressing unique challenges as they arise.
Choose Your Path to Independence
Independence isn’t one-size-fits-all. We make it simple to find your best starting point.
Start an RIA
Build your firm from the ground up with full registration, compliance, and operational support.
The perfect pathway for advisors ready to establish their own independent RIA, own their client relationships, and build their business with complete control. We guide you step-by-step through registration, compliance setup, and business infrastructure.
Advisor Launch Pad
Join our affiliate RIA and launch faster with full-service support.
Created for advisors who want to build toward independence but prefer to start with added support. Joining our affiliate RIA gives you a strong foundation, with compliance, operations, and technology, so you can concentrate on clients and growth. When you’re ready, you’ll have a proven glidepath to launch your own RIA.
Let’s Simplify Your Path to Independence
From your first filing to ongoing compliance, we make every stage of the RIA journey easier to manage. Partner with a team that understands your challenges and is committed to helping you succeed on your own terms.
The Right Support for Every Stage
From first-time founders to established firms, we provide clarity, compliance, and confidence for every stage of independence.
Breakaway Advisors
Advisors leaving a wirehouse, broker-dealer, or aggregator who want to launch their own firm with confidence.
Emerging RIAs
Solo or small firms looking for structure, guidance, and support to scale efficiently.
Established RIAs
Existing firms seeking a reliable partner to handle ongoing compliance and keep them regulator-ready year-round.
Growing Teams
Advisors expanding their services or team who need strategic guidance and compliance built for growth.
Why Advisors Choose SimplyRIA
Practical guidance, personalized compliance, and partnership designed for independent advisors.
Built for Advisors, by Advisors
We’ve built and run RIAs ourselves — so we understand the real-world challenges you face. With decades of advisory experience and a team that includes CPAs, CFA® Charterholders, and CFP® professionals, our guidance comes from lived expertise, not theory.
Strategic Partners — Not Just a Setup Package
Launching an RIA is more than filing paperwork. We help you shape your firm the right way — from custodians and tech to service models and fees. With our Launch Pad Program, you can even start within our affiliate RIA until you’re ready to go fully independent.
Personalized Compliance with a Human Touch
Compliance isn’t one-size-fits-all. We take time to understand your firm and tailor a program that fits your goals. As a boutique partner, we deliver high-touch, relationship-driven support that keeps your firm audit-ready without the cookie-cutter approach.
Take the Next Step Toward Independence
Whether you’re starting your RIA or strengthening your compliance foundation, SimplyRIA provides the clarity and guidance to move forward with confidence. We simplify the process so you can focus on building relationships, growing your business, and leading with integrity.
Proven Experience. Real Results.
From registration to ongoing compliance, advisors trust SimplyRIA to simplify independence.
I wasn’t ready to jump straight into running my own RIA, but I also knew I needed more freedom than my broker-dealer allowed. The Advisor Launch Pad gave me the foundation to grow my client base and brand within a supported structure. When the time came, I transitioned into my own RIA seamlessly, kept my book, kept my clients, and gained full independence with confidence.
Compliance used to keep me up at night. With SimplyRIA, I finally feel like I have a partner who knows my firm inside and out. Their team doesn’t just hand me templates; they take the time to understand how I run my business and keep me audit-ready year-round. It’s peace of mind I didn’t know I was missing.
Launching an RIA always felt overwhelming, until I worked with SimplyRIA. They handled the filings, walked me through every decision, and set me up with the right systems to succeed. Instead of worrying about paperwork, I was able to focus on building my firm from day one. What felt impossible on my own became achievable with the right partner.
Insights & Resources for Advisors
Stay informed with expert blogs, tools, and answers designed for every stage of independence.
The Simplified Path to Independence
You’ve built a career on trust, integrity, and doing what’s right for your clients. But as the industry continues to evolve, you may be questioning whether your current structure still gives you the freedom to serve them the way you want. For many advisors, the idea…
The 5 Must-Have Documents for Every RIA
Every successful Registered Investment Advisor (RIA) rests on a solid foundation of documentation. It’s not just about satisfying regulators, it’s about building trust, consistency, and accountability within your practice. The right documents tell the story of your…
Why an Annual Compliance Calendar is Your Best Friend
Compliance may not be the most exciting part of running an advisory firm, but it’s one of the most important. Each year brings a full schedule of regulatory filings, policy reviews, training requirements, and disclosure updates that can quickly become overwhelming…