RIA Registration Services

Avoid Unnecessary Complications and Delays!

Whether you are a new firm looking to register with the SEC or your state, or are an established firm looking to move into a new line of business, our team can simplify the registration process by preparing your application and supporting documentation and helping to develop your compliance program.

We provide hands-on assistance guiding you through every step of the complex registration process.

Complete the form to learn why investment advisers choose ACA for registration assistance.

Registration Services for Registered Investment Advisers (RIA)

All registration clients are supported by a two-person consulting team comprised of an expert consultant and a registration associate, both experienced in investment adviser registrations. Below are some of our registration services:

Pre-registration advisory

Preparation and filing of Form ADV

State/ SEC registration/notification filings and IAR registrations

Extensive phone interview with principals to review specific registration issues

Tailored manual with written policies and procedures

Trading, trade allocation, and soft dollar procedures

Social media, advertising, and website policies

Oversight of service providers

Books and records requirements

Sample Code of Ethics

Regulation S-P, proxy voting, and disaster recovery policies

Form ADV Preparation and Filing

Investment advisers use Form ADV to register with the SEC and state securities authorities, or to report to the SEC and state securities authorities as an exempt reporting adviser. Form ADV must be updated at least annually, within 90 days after the end of your fiscal year, and may require certain other amendments. ACA’s consulting team will:

Provide interpretations of the Form ADV instructions and registration requirements.
Navigate the IARD account and, upon your review and approval, submit Form ADV Part 1A, Part 2A, and Part 2B on your behalf.
Help you craft responses that properly reflect your firm’s business practices, procedures, and policies.
Assist with ensuring that disclosures are consistent with your firm’s business practices.
Register up to five investment adviser representatives (IARs) who will transact business on behalf of your firm

Exams for Registered Investment Advisers

Our exam offerings for registered investment advisers are designed to meet your firm’s specific needs. Our examiners will evaluate your firm’s practices from a regulatory perspective to identify potential areas of concern, providing suggestions for remediation and best practices.

SEC Mock Regulatory Exam

Annual 206(4)-7 Compliance Review

Small Firms Compliance Assessment

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Ongoing Registration Support

Becoming a Registered Investment Adviser (RIA) requires an understanding of the regulatory requirements that apply to your firm. As part of our registration services, we provide limited compliance support for six months following your firm’s registration.

Why ACA?

We’ve been in your shoes - when you work with us, you’ll have the peace of mind that comes from working with the most trusted and experienced GRC advisors in the financial services industry.

Our team includes former SEC, FINRA, FCA, NFA, CFTC, and state regulators, along with former Chief Compliance Officers and senior compliance managers from prominent financial institutions.

We offer a deep understanding of the regulatory landscape and the holistic use of technology to maximize efficiencies and provide true value through every step of the process.

Complete the form to learn why investment advisors choose ACA for their registration services.