Establishing Your Own RIA: Your Registration & Compliance Questions Answered

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.

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.

GOING INDEPENDENT

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Your Guide to a Seamless Transition

In This Guide, You'll Learn:

Written by a Compliance Expert with 20 years of investment adviser registration and compliance experience