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

    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.