Notes

A registered investment advisor is a company which is an investment advisor in the United States, duly registered with the SEC or a particular state's securities regulatory commission. It is the responsibility of these companies to ensure that they comply with all federal and state laws by registering with the relevant regulatory bodies. Moreover, all registered investment advisors must provide annual disclosure reports to their clients and periodic audited financial statements to the regulatory agencies. To ensure compliance with these requirements, an RIA needs to complete RIA Registration training as well as complete any other necessary state or federal requirements, and keep proper records.
In many states, there are also state-approved regulatory agencies that ensure that an RIA complies with state laws by conducting periodic inspections of the firm's compliance with state laws. To become an authorized RIA, one needs to complete RIA Registration training and to continue to complete annual audited financial statements and report to the relevant regulatory agencies. These agencies may either strip a firm of its registration or may issue a cease and desist order. In cases where the firm refuses to comply with state law, such regulatory compliance monitoring services may be utilized by the firm.

One of the benefits of becoming a registered investment advisor is that you can easily make sure that all of your business practices comply with all applicable laws. As an RIA, you can be confident that your firm has implemented a complete and comprehensive written compliance program. Each and every aspect of the business can be thoroughly reviewed to ensure that your firm adheres to all federal, state, and local laws by becoming registered. Additionally, a comprehensive written compliance program can help to put your business at the top of the list of firms that are considered to be professional tax advisors by the IRS.

In addition to having your firm become accredited by the RIA, it is also important that you have your firm's name secured as an accredited investor. The easiest way for investors to do this is through the institution that handles the U.S. IAA along with a major national investment bank. Once you become an accredited investor, you will be able to list your firm on the stock exchange as well as in the over-the-counter market.

Becoming a registered investment advisor is not a mandatory requirement for persons wishing to become investment advisors. However, RIA compliance consultant, RIA registration services, RIA registration training, investment adviser compliance services is strongly advised that all persons interested in becoming investment advisors register with an RIA. If you do not have your firm name registered, you can do so online. Many websites also offer low-cost or no-cost registration packages for those who do not have a brick-and-mortar office. If you do not want to pay for the full registration fee, you should consider searching for a website that offers a free registration package.

A registered investment advisor must attend and pass a series 65 RIA examination. He/she must also complete a state examination. These requirements are necessary in order for a person to become a Certified Registered Investment Advisor. There is currently a series of state-by-state RIA registration requirements. You should check with your state licensing board to determine what the specific requirements are.
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