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.
Unlock the Secrets to a Successful RIA: Download “10 Tips to Know Before Starting a Successful RIA” Guidebook
Discover the secrets to launching a successful Registered Investment Advisor (RIA) firm with our comprehensive guidebook. Download our guidebook today and embark on the path to RIA success. Click the button below to download your copy now.