--- title: "Establishing Your Own RIA: Your Registration & Compliance Questions Answered" --- [![Compliance advisor logo white](https://info.stpis.com/hs-fs/hubfs/Compliance%20advisor%20logo%20white.png?width=200&height=200&name=Compliance%20advisor%20logo%20white.png "Compliance advisor logo white")](http://stpis.com) #### GOING INDEPENDENT # Thinking of Establishing Your Own RIA? ### Get the compliance clarity and expert guidance you need to go independent with confidence. You’re ready to build something of your own. Whether you're breaking away from a broker-dealer or launching fresh, going independent puts you in control—of your business, your clients, and your future. But where do you start? This free guide, **"Establishing Your Own RIA: Your Registration and Compliance Questions Answered,"** from ComplianceAdvisor, a division of STP Investment Services, walks you through the critical steps and common questions financial professionals face when launching a registered investment adviser firm. #### Ready to tackle T+1 with ease? ### Download Our Latest RIA Guide ![ebook cta](https://info.stpis.com/hubfs/ebook%20cta.png "ebook cta") #### Your Guide to a Seamless Transition ## In This Guide, You'll Learn: - **Whether to register with the SEC or your State — and what triggers each** - **How to build a compliance program tailored to your business** - **Which regulatory filings and legal entities you’ll need** - **What it takes to remain compliant year after year** - **How to navigate multi-state advisory services** - **When to bring in tech tools vs. expert consultants** [Download our RIA Guide](https://info.stpis.com/establishing-your-own-ria-your-registration-compliance-questions-answered-lp#T1_header) ### Written by a Compliance Expert with 20 years of investment adviser registration and compliance experience Authored by Lori Weston, Head of Compliance at ComplianceAdvisor (a division of STP), this guide reflects deep, real-world experience in helping advisors like you go independent the right way—without costly missteps. ![Lori -Headshot](https://info.stpis.com/hs-fs/hubfs/Lori%20-Headshot.png?width=500&height=500&name=Lori%20-Headshot.png) [Get Your Guide](https://info.stpis.com/establishing-your-own-ria-your-registration-compliance-questions-answered-lp#T1_header) Copyright © 2026 STP Investment Services. All Rights Reserved.   44 W. Gay Street Suite 300 West Chester, PA 19380 +1.610.363.5684