Schedule Introductory Call & Request a Proposal for Our Investment Advisor Registration Service

In order to prepare a quote and formal proposal to assist you with the registration of your firm as an investment advisor, you may call us at 877-345-4034 extension 1 to discuss your new firm and our investment adviser registration service.

Alternatively, you can make an online request for a proposal by providing us with your contact information and answering the following questions about the anticipated activities of your firm. Once you’ve electronically submitted your answers below, you should see a link to the online calendar system of our Business Development Team. Please click on this calendar link so that you can schedule an introductory call about our investment adviser registration service.

An introductory telephone call is typically needed before we can prepare a quote and formal proposal to register your firm as an investment advisor. Thank you.

* Indicates a required field

Contact Information:

Title

First Name *

Last Name *

Firm Name

Street Address *

City *

State *

Zip Code *

Country

Phone *

Ext.

Email *

How did you learn of our services?

Anticipated Activities of Firm:

What is your expected or anticipated approval date for your investment advisor firm?

What is your anticipated amount of assets under management by your firm within 120 days after registration as an investment adviser?

What state will be the main location of your firm’s offices?

Will your firm or any of its investment advisor representatives have an office or more than five clients (within 120 days of registration) in a state other than the firm's home state?

(If yes, please list.)

How many investment adviser representatives (including yourself) will be affiliated with your firm?

Does your firm or any of its anticipated owners, directors, officers, employees or investment adviser representatives have a disciplinary history such as a censure, suspension, disbarment or fine, with a regulator or a bankruptcy or a compromise with creditors?

(If yes, please explain.)

Is Client or any of its anticipated owners, directors, officers, employees or investment adviser representatives currently subject to an inquiry, investigation or enforcement proceeding by a regulatory authority or been found liable a regulatory authority proceeding?

(If yes, please explain.)

Is Client or any of its anticipated owners, directors, officers, employees or investment adviser representatives subject to a pending, arbitration, lawsuit or customer complaint or been found liable in an arbitration or lawsuit?

(If yes, please explain.)

Will your firm also be registered as a broker-dealer?

Will your firm serve as a commodities pool operator or commodities trading advisor?

Will your firm advise or operate a hedge fund?

Will your firm advise a registered investment company?

Will you, your firm, or an affiliated firm serve as general partner of a limited partnership or managing member of a limited liability company offered to clients?

(If yes, please explain.)

Will your firm pool client investments?

Describe the outside business activities of you, your firm and/or its investment adviser representatives.

Will your firm charge a performance fee (other than an asset under management) based on the profits of the account?

Will any of the investment adviser representatives of your firm also be affiliated with a broker-dealer as a registered representative?

Will your firm use third-party solicitors?

Will your firm or its investment adviser representatives serve as a solicitor for a third-party money manager?

Will your firm conduct financial planning?

(If yes, please describe and specify the approximate range for financial planning fees.)

Will your firm sponsor a wrap fee program?
(In basic terms, a wrap fee program is a program under which a client is charged a specified fee not based directly on transactions in a client account for investment advisory services and execution of client transactions. Typically, fees such as custodial fees, transaction charges, and commissions are not billed separately, but included in the overall management fee charged to the client. Programs where an advisor charges an asset management fee, but the custodian’s fees are billed separately are not generally considered wrap fee programs.)

I would like to subscribe to the IA Registration Tips email newsletter published by RIA Compliance Consultants.

Disclosure for All Prospective Clients: Contacting or responding to our offices or consultants does not create a consulting relationship. Likewise, the sharing of information, documents or data does not create a consulting relationship with RIA Compliance Consultants, Inc. An introductory call with RIA Compliance Consultants, Inc. is not intended and should not be considered specific compliance advice from RIA Compliance Consultants, Inc. for a prospective client’s particular situation. A consulting relationship can be established only after the following two events have been completed: (1) our thorough review with you of all the relevant facts pertaining to a potential engagement; and (2) the execution of a written engagement/fee agreement and our advance receipt of any retainer required under such an agreement. A user of this website should not transmit personal, sensitive, privileged or confidential information through the message or email facilities provided by RIA Compliance Consultants on this website. For more information, please review our Disclosures webpage.

Disclosure for Foreign Advisers: The U.S. Securities and Exchange Commission (“SEC”) will not approve new applications to register an investment adviser firm located outside the United States unless an applicant can show that the foreign jurisdiction’s laws and regulations permit the sharing of information with the SEC. As a result, RIA Compliance Consultants is currently limiting complimentary introductory calls about our compliance services to the following: (i) new applicants which are located in the United States, Canada, the United Kingdom or Switzerland; and (ii) existing firms already registered with the SEC regardless of location. Although we are not available for a complimentary introductory call for a foreign adviser (located outside the U.S., Canada, the United Kingdom, and Switzerland) seeking to register with the SEC, we can conduct an initial consultation (lasting up to one hour) for a fixed fee of $595. If interested in an initial consultation, please click on Contact Us to request an engagement agreement and instructions for payment of the retainer.