Launch Your RIA with Confidence
Flat-fee registration services built for advisors, by advisors. We handle filings and regulator correspondence so you can focus on growing your firm.
Cut Through the Complexity of RIA Registration
SEC and state requirements can be overwhelming. SimplyRIA makes the process simple, accurate, and regulator-ready.
Starting your own RIA is one of the most important steps in your career as an advisor—but registration is rarely straightforward. Between choosing the right jurisdiction, completing ADV filings, drafting disclosure documents, and managing regulator questions, the process can feel overwhelming. A single oversight can create costly delays or lead to compliance headaches down the road.
SimplyRIA helps you cut through that complexity. Built by advisors for advisors, we know the realities of launching a firm—not just the theory. Our team prepares your filings accurately, creates regulator-ready documents, and handles correspondence so you can move forward with confidence and focus on building the business you’ve envisioned.
What’s Included in Your Registration
When you partner with SimplyRIA, you get more than just filings. We deliver a complete package designed to get your firm registered and regulator-ready.
Filings
FINRA Entitlement (SAA setup)
We set up your Super Account Administrator (SAA) access so you can securely file and manage regulatory documents through the FINRA Gateway. This step is required before submitting your ADV and U4 filings.
Form ADV Parts 1, 2A, 2B, and Part 3 (Form CRS)
Your ADV is the cornerstone of your registration. We prepare each part: business details (Part 1), your firm brochure (Part 2A), advisor bios (Part 2B), and your Client Relationship Summary (Form CRS). Every section is tailored to your firm so disclosures are complete and regulator-ready.
Form U4 for Investment Adviser Representatives
We complete and file Form U4 for each IAR tied to your firm. This filing discloses background, disciplinary history, and personal details required by regulators to approve individuals as investment adviser representatives.
Filing with the SEC or State Regulators
Whether your firm qualifies for SEC registration or falls under state oversight, we handle the entire filing process. We coordinate directly with the regulator to ensure timely submission and reduce back-and-forth delays.
Core Compliance Documents
Code of Ethics
Compliance Policies & Procedures Manual
Investment Advisory Agreement
Financial Planning Agreement
Privacy Policy
Initial ADV Amendment
Support and Guidance
Regulator Correspondence During Registration
We don’t just file your paperwork and walk away. Our team coordinates directly with SEC or state regulators throughout the registration process, responding to questions, clarifying details, and addressing comments. This proactive communication helps prevent unnecessary delays and keeps your application moving forward.
1:1 Consulting After Approval
Registration is just the first step. Once your firm is approved, we provide one-on-one consulting to help you implement your compliance program, operationalize your core documents, and prepare for your first regulatory updates. This ensures you begin your practice with clarity, confidence, and a solid compliance foundation.
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 start by learning about your firm’s vision, structure, services, custodians, and fee model. This ensures every filing reflects your unique business.
Prepare Filings
Our team builds and reviews your Form ADV, U4 filings, and compliance documents. Each piece is tailored to your firm and regulator-ready.
3. Submit Registration
We file your registration with the appropriate regulator (SEC or state) and confirm all required documentation is submitted accurately.
Respond to Regulator
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.
Flat-Fee RIA Registration Pricing
One-time transparent pricing — no hidden costs, no surprises.
One-Time Registration Fee:
$4,799
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 Addons
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.
Additional Jurisdiction Filing – $350
For firms registering in multiple states or with the SEC and one or more states.
IAR Additional Jurisdiction – $175
Covers Investment Adviser Representatives who need approval in more than one state.
Additional IAR – $350
For registering additional Investment Adviser Representatives under your firm.
State Notice Filing – $175
For advisors filing notice in a state outside of their primary registration.
Other Custom Requests – Quoted
Unique requirements or regulator requests beyond the standard scope are quoted upfront — no surprises.
