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
Launch your RIA with clarity and confidence
From firm structure to SEC or state approval, we handle every filing, document, and regulator conversation — so you can focus on building your firm, not navigating red tape.
One-time registration fee
$4,799
Flat fee — no hidden costs
All ADV filings (Parts 1, 2A, 2B, CRS)
Form U4 for IARs
Core compliance documents
Regulator correspondence
1:1 consulting post-approval
"Having compliance, marketing, and investment support under one roof changed everything about our transition." — Independent RIA, Chicago IL
Why independence
Take ownership of your future
Launching your own RIA isn't just about leaving a broker-dealer — it's about building a firm that truly reflects your vision, values, and the clients you serve.
For some, independence means freedom from restrictive platforms or compensation structures. For others, it's the ability to design a more modern, scalable practice that prioritizes clients and operates with greater transparency.
Whatever your reason, SimplyRIA makes that transition clear and achievable. Having built multiple RIAs ourselves, we understand every challenge and opportunity that comes with independence.
Full control over your practice
Set your own fees, choose your custodians, and build a firm structure that matches your vision — without platform restrictions.
A more scalable business
Design a modern, tech-forward practice with the flexibility to grow on your own terms — without adding unnecessary complexity.
Lead with transparency
Operate as a fiduciary with full transparency — giving clients the clarity they deserve and the trust that builds lasting relationships.
Guided, not alone
SimplyRIA walks you through every step — from registration to launch — so you never have to figure it out on your own.
What's included
A complete registration package
When you partner with SimplyRIA, you get more than filings — you get a complete package designed to get your firm registered and regulator-ready.
Filings
Compliance documents
Support & guidance
FINRA Entitlement (SAA setup):
Secure gateway access for regulatory filings
Form ADV Parts 1, 2A, 2B & CRS:
Complete firm brochure, bios & relationship summary
Form U4 for IARs:
Background & credentials for each adviser
SEC or state filing:
Filed with the correct regulator for your AUM
Code of Ethics:
Required standards for your firm and its IARs
Policies & Procedures Manual:
Custom compliance manual built for your firm
Investment Advisory Agreement:
Client-facing service and fee agreement
Financial Planning Agreement:
Scope and terms for planning engagements
Initial ADV Amendment:
Filed within 30 days of approval
Regulator correspondence:
We manage all regulator questions and comments during review
1:1 consulting post-approval:
Implement your compliance program with expert guidance
Regulatory access guidance:
Step-by-step help maintaining your SAA and FINRA access
Privacy Policy:
Client data handling policy tailored to your firm
How It Works
What the Registration Process Looks Like
We’ve refined the registration process into clear, manageable steps so you always know what comes next. From the first call to final approval, we’re with you at every stage.
Discovery Call
We learn your firm's vision, structure, services, and fee model so every filing is tailored to you.
Prepare Filings
We build your Form ADV, U4 filings, and compliance documents — reviewed and regulator-ready.
Submit Registration
We file your registration with the appropriate regulator (SEC or state) and confirm all required documentation is submitted accurately.
Respond to Regulators
We manage regulator comments and requests, guiding you through responses and clarifications so the process moves forward smoothly.
Final Approval
Once approved, your RIA is officially registered. We then guide your initial updates and next steps so you launch on a strong foundation.
Transparent Pricing
Flat-Fee RIA Registration Pricing
One fee covers everything you need to get registered. Optional add-ons are available for unique situations.
One-time registration fee
$4,799
Everything included below:
Filings
FINRA Entitlement (SAA setup)
Form ADV Part 1
Form ADV Part 2A (Firm Brochure)
Form ADV Part 2B (Brochure Supplement for IARs)
Form ADV Part 3 (Form CRS)
Form U4 (IAR Registration)
Filing in primary jurisdiction (SEC or state)
Core Compliance Documents
Code of Ethics
Compliance Policies & Procedures Manual
Investment Advisory Agreement
Financial Planning Agreement
Privacy Policy
Initial ADV amendment (within 30 days of approval
Support and Guidance
Regulator correspondence during the registration process
1:1 consulting after approval to operationalize compliance
Guidance for updating and maintaining regulatory access (SSA, etc.)
Optional Add-Ons
Your registration package includes everything you need to launch your firm. If your situation requires additional filings, we offer flat-fee add-ons so you only pay for what you need.
$350
Additional jurisdiction filing
For firms filing notice in a state outside their primary registration.
$175
IAR additional jurisdiction
For IARs requiring approval in more than one state.
$350
Additional IAR
Register additional Investment Adviser Representatives under your firm.
$175
State notice filing
For advisors filing notice in a state outside their primary registration.
Quoted
Custom requests
Unique requirements beyond standard scope are quoted upfront — no surprises.