The Top 10 Considerations for Becoming a Registered Investment Advisor

Launch Your RIA: The Top 10 Considerations for Becoming a Registered Investment Advisor

Starting your own RIA firm is a major milestone — but success hinges on getting compliance right from the start. This practical guide outlines what every new firm needs to know before, during, and after registration.

From choosing the right registration path and filing your Form ADV to understanding your fiduciary duties and selecting the right technology — this guide walks you through the top 10 regulatory and operational decisions that set the foundation for a successful RIA.

Whether you're still in the planning phase or already deep into registration, you'll gain clarity on:

• SEC vs. state registration requirements
• Required forms, documents, and filings
• Choosing the right compliance policies and CCO
• Hiring, qualifying, and registering IARs
• Building a scalable tech and compliance stack

Make the right decisions from day one.

Talk to a COMPLY Expert — Ensure your registration is done right the first time.