RIA LAUNCH CHECKLIST

Launch Your Own RIA with Confidence

Download the Ultimate RIA Launch Checklist

Ready to take control of your future as an independent financial advisor? Launching your own Registered Investment Advisor (RIA) firm is an exciting step, but it comes with complex regulatory requirements, operational decisions, and compliance obligations.

That’s why we’ve created the RIA Launch Checklist—a comprehensive guide to help you navigate every step of the launch process with clarity and confidence.

Ready to tackle T+1 with ease?

Download Our Latest RIA Checklist

Your Guide to a Seamless Transition

In This Checklist, You'll Learn:

Legal and compliance requirements to get registered
How to choose between SEC or state registration
Must-have cybersecurity protections to satisfy regulators
Fee structure guidance for transparency and consistency
Licensing and client contract essentials
Operations, billing, and technology setup tips

Download our RIA Checklist

ComplianceAdvisor provides industry-leading compliance advice and support to investment advisors of all types and sizes. From registration to developing a customized compliance program, our experienced consultants provide hands-on, one-on-one support every step of the way.

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