RIA Registrations

Starting an RIA can seem like an overwhelming endeavor.

  

Through the registration process, we stay by your side from inception to the day your doors open so you can focus on starting your business. During a time full of excitement and uncertainty, we do our best to make the process as organized and predictable as possible.

Starting an RIA is always a fixed fee. Performing the registration on a fixed fee enables you to ask as many questions as you need or make as many changes to documents as you need. Included in the fixed fee is everything needed to get registered and establish your compliance program.  Learn More...

Learn how we can help you maintain your compliance program after your doors open.

What You Should Expect During Our Process

  

When you agree to work with our qualified team, you’re gaining more than a business relationship. You’re gaining a partnership. We’re here to assist you with all of your initial business needs, including the following:

  • A complete partnership to understand your plan and goals

  • Unlimited consultations about your business, transition, and registration

  • Working through extrication issues

  • Helping you determine your corporate governance

  • Establishing your new entity

  • Working with the complex Investment Adviser Registration Depository (IARD) and Central Registration Depository (CRD) systems, so you don’t have to

  • Registration on the federal or state levels (including preparing and submitting ADV, U-4)

  • Acting as liaison with regulators

  • Drafting your corporate documentation (including all client agreements, business continuity plan, privacy agreement, non-disclosure agreement, and compliance manual)

  • Establishing a clear and obtainable compliance plan for ongoing use

  • Comprehensive CCO training prior to launch

 

Contact us:

Mailing Address

660 Newtown Yardley Road
Suite 105
Newtown, PA 18940

 

Phone: (646) 395-3900

Email: info@swayzellc.com

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