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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

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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

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.

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