Two Successful Methods for Starting Your Own RIA

Start Your Own RIA The Traditional Way

Advisors that are looking to start their own RIA from scratch are typically very experienced, with a significant book of business and a loyal client base, which can help support their new venture. They have usually already built a successful brand/practice within a broker-dealer or other financial institution, and are looking for greater independence, flexibility, and control over their business. If this sounds like you, we can provide a wide variety of services to help you on your journey.

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Traditional RIA Services

Registration: Registering an SEC or State RIA is a multi-faceted process and can vary widely depending on the state your business is established in. This means at a state level, if you currently have, or plan on having clients in multiple states, you will have to register in each state accordingly and navigate each of their unique processes, rules, and guidelines. At SimplyRIA we work with you to align all the critical intricate pieces to make sure you are prepared to launch your firm with confidence and that all areas have been fulfilled and to each state’s requirements. Most importantly you are prepared for your first, early State or SEC Audit.

Compliance: RIA Compliance has never been more important for long-term success. As an RIA Compliance & Consulting Firm, we offer programs that enable both you as the owner and Chief Compliance Officer, to leverage the SimplyRIA Team. Our resources, knowledge, and experience will fully support you and your Firm. By the way, we do, actually answer our phones!

Documents: Once you establish your RIA Firm, you will need to establish all the necessary compliance documents for both your Clients and the Advisors of your Firm if applicable. Building these documents is a critical and time-consuming process and can take away from what is important, growing your business and servicing your clients. SimplyRIA compliance consultants will help properly structure your documents to align with your specific business model.

Customized RIA Services

Unlike most cookie-cutter Compliance Firms, SimplyRIA recognizes that each business is unique and requires special attention or customized consulting, registration, and on-going compliance services. If you’re not interested in an “out of the Box” or just “fill in the blanks” approach or, more importantly, you don’t want to pay a second time for corrections, SimplyRIA should easily be your first choice. We believe the devil is in the details, do you?
We encourage you to speak with our RIA clients and ask them for yourself about their experience before you decide what’s best for you and your Firm.

Utilize Our RIA Launch Pad Process

The RIA Launch Pad Program was created for Advisors that may not be ready or are not interested in completely starting from scratch, but are looking for more independence, flexibility, and control over their business. We provide an environment for Advisors to grow their practice under their own autonomous brand without the hassle or expense of setting up their own infrastructure. When willing and ready, we’ll help them transition and start their own RIA. If this interests you, learn about the transition process below.

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Painless Transition Process

Quick registration and gain immediate SEC status

Our back office team will facilitate entire client account transition

Working with a team that actually answers the phone

Autonomous Environment

Building a business to create the lifestyle you envision

Establish and customize your own branch office brand, logo, and email/domain/website

Client services & fee structure autonomy

A compliance department strives to say “yes”

Profit sharing opportunities for tenured Advisors

Advisor Operating System

Focus on growing your business, while we handle the minutia:

Paperless compliance

Billing & accounting

Portfolio design & management

Comprehensive integrated BGA

Advanced markets capabilities i.e. DSTs, QOZs, 401(k), etc.

White glove client service*

In-house marketing & digital media team

Proven exclusive workshop series

Innovative marketing collateral and resources

On-boarding discovery consultation and welcome package

Add sub-advisors or admin staff to your branch office

Advisor continuity planning

Constant SEC management and audit preparation

* Subject to availability and additional basis point fee. White Glove includes: portfolio blueprint analysis, portfolio comparison & investment analysis, account opening & paperwork, NIGO support, financial Planning support

Launch Your Own RIA

Should you decide and are ready to take on establishing your own RIA, we’ll do it for free**. Additionally, we will assist with:

Transition evaluation

Developing a seamless exit strategy

Maintain our integrated 3rd party services.

Outsourced ongoing compliance services through SimplyRIA

** Talk with one of our Business Development Adivsors (BDA) for more details.

Opportunity Cost of Starting Your Own RIA the Traditional Way vs RIA Launch Pad

Unlock the Secrets to a Successful RIA: Download “10 Tips to Know Before Starting a Successful RIA” Guidebook

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