Start an RIA

We're here to help setup your RIA

Interview and select custodians like Goldman Sachs, Fidelity, or Pershing-BNY Mellon

Name your company

Determine your business legal structure and incorporate

Set up a business banking account

Employer identification (EIN)

Select an accounting management system

Hire an RIA compliance company to help you with your registration/ADV filings

Purchase a Domain name

Set up your business email account

Select a web hosting service and build your website

Hire a designer for your company's logo

Purchase business cards

Trademark your company name

Buy a health insurance policy

Buy an errors and omissions insurance policy

Find a CRM offering a variety of Integrations

Select an email marketing service

Select a Consolidated performance reporting provider

Select a client billing invoicing system

Purchase a cloud documents storage service

Select a social media compliance archiving provider

Find and negotiate a lease for office space

Picking a

custodian

Goldman Sachs

Fidelity

Pershing - BNY Mellon

Filing Phase

Registration with regulators

Compliance phase

Written supervisory procedures

Code of ethics

Privacy policy

Idenity theft program

Cybersecurity policy

Buisness continuity plan

Compliance consulting solutions

Distribution solutions

Registered fund solutions

Ownership structure

Roles and responsibilities

Filling phase and compliance

Picking the best technology

Black diamond

Salesforce

HubSpot

Red Tail

Google Suite

Orion

Morningstar

Advent

Pre launch

Launch Day

Investment Management Strategy

Set up

Name

LLC set up

E&O insurance

Licensing and Registration

Office rent

Health insurance

Furniture

Computers and phones etc.

Retirement plan

Tax returns

Payroll

Client reporting

Audit

Marketing content

Book keeping

Accounting

Blum/shapiro

Reporting

Integrated Technology

Transition onboarding

Marketing consulting

Human resources

Real Estate Assistance

Finance and commissions

Custodian safeguard the assets

New Business development

Broker protocol

Retain lawyer

Review existing employer agreement

Guidance on moving preparations

Protocol client list

Prepare Resignation letter

Startup Financing

Business Formation

Compliance

Marketing & PR

Office space and set up

Broker

Other things to think about

SEC Registration

ADV file

Brochure

Wrap fee brochures

U-4

U-10

Investment Advisor agreement

Financial planning agreement

Consulting Agreement

Sec registration

Form of Organization

Successions

Other business activities

Financial industry affiliations

Solicitors disclosure documents

State and federal filing docs

Investment policy statement