RIA Registration Services

Starting a new investment advisory firm is an exciting enterprise that requires expert regulatory compliance advice. As the leading regulatory compliance consulting firm in the industry, the professionals at Vigilant Compliance have the experience and skills you need to smoothly and successfully launch your business. When you’re ready to start your own investment advisory firm, let the Vigilant Compliance team help you manage your upcoming regulatory challenges.

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ria registration and compliance services

RIA Quickstart

  1. Engage Vigilant Compliance to Register your RIA
  2. Draft Registration Filing Forms
  3. Draft RIA Compliance Policies and Procedures
  4. Vigilant Compliance can Serve as your CCO or Support your Current CCO
  5. Respond to Regulatory Comments (as necessary)
  6. Finalization and Approval From SEC

RIA Registration and Compliance Services

You and your clients deserve a registered investment compliance partner that drives industry best practices. Leading investment advisers turn to our RIA compliance consultants when they need sophisticated strategies to define the future of their business. Vigilant Compliance provides:

  • Comprehensive registration services. Vigilant Compliance will draft, revise and file the forms necessary to establish your business.
  • Compliance advisement services. Outsource your Chief Compliance Officer needs with Vigilant Compliance. Our legal professionals can design company-specific policies and procedures that will position your firm for safe and secure operation. We can also guide your firm through the registration process by responding to regulatory comments and advising any necessary changes.
  • Registered investment adviser training. Successful new businesses develop cultures where strong regulatory compliance forms the foundation of success. Vigilant Compliance will implement your best practices and train your partners and staff to work under steady, robust oversight.
  • Complete RIA investment adviser registration and support for a fixed monthly fee.
  • Chief Financial Officer services. As the only regulatory compliance firm that employs professionals from the legal, financial and accounting fields, Vigilant Compliance is well positioned to provide your registered investment advisory firm with the financial oversight your firm needs.

Additional Services

RIA registration and compliance is just part of the services provided by Vigilant Compliance. As your firm grows, Vigilant Compliance can help you expand into global markets, fight cybersecurity threats, prepare for SEC examinations and more.

  • Global expansion. If your business plans to enter a foreign market, or if your foreign business would like to do business in the U.S., Vigilant Compliance can help. As the clear industry leader in global regulatory compliance, put the reputation of Vigilant Compliance to work for your growing firm.
  • Cybersecurity. Cybersecurity threats have the potential to significantly damage even the largest multinational businesses. Our cybersecurity team can analyze your internal processes and third-party relationships, while identifying and remedying current or potential threats.
  • SEC Compliance. Vigilant Compliance can assure your partners and staff members are well-prepared for upcoming SEC exams with our Mock SEC Exam Program. We can also review your policies and procedures, and implement new strategies that assure full regulatory compliance practices are in place.

Contact Vigilant Compliance

The professionals at Vigilant Compliance have the skills and experience you need to assure your new advisory meets regulations and establishes a strong foundation in compliance. With offices in New York, Philadelphia, Boston, Dallas and Washington, D.C., Vigilant Compliance is well positioned to help your business create and sustain an effective compliance policy. For more information, contact Vigilant Compliance today

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Modified: November 7, 2018