Launch your RIA

Fill out the form or call 866-583-2374 to talk to a registration expert 

COMPLY has helped thousands of advisors launch their own firms and we can't wait to show you what's possible.

Our team will be by your side every step of the way, providing critical resources, including providing a curated list of organizations that we regularly work with to assist with other legal or business services you may need.

Filings include:  

• FINRA Entitlement  
• Form ADV Part 1   
• Form ADV Part 2A  
• Form ADV Part 3  
• Form U4
• Form ADV Part 2B   
• Additional filings documents and regulatory paperwork  
• Filing in all required jurisdictions  
• Code of Ethics  
• Policies and Procedures Manual  
• Investment Advisory Agreement  
• Financial Planning Agreement   
• Privacy Policy   

For other inquiries, please visit our Contact Us page or Customer Support page.