Expert Compliance & RIA Registration Support
Building a Strong Regulatory Foundation for Growth-Oriented Firms
Navigating the Complexities of SEC RIA Registration
Core Compliance assists investment advisers and financial professionals in navigating SEC RIA registration. We provide expert guidance to build businesses that are fit for the future, allowing you to step forward with total confidence.
Our Services
Understanding how to start an RIA requires meticulous attention to governing SEC and state regulations. Having an experienced team to provide strategic guidance for your RIA Formation protects you from early vulnerabilities and establishes a culture of integrity from the inception of your business. We collaborate as a member of your team to manage the heavy lifting of the SEC RIA Registration process. This dedicated support allows you to focus solely on building your business and setting the foundation to service your clients as you scale your practice.
Phase 1: RIA Formation
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Form ADV Filing Submission:
Securing IARD system access by filing the Super Account Administrator Form, then drafting and submitting your initial Form ADV Filing (Part 1) to establish your firm as an SEC Registered Investment Adviser.
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Form CRS & Form U-4 Filing:
Drafting and filing the Client Relationship Summary (Form CRS), as applicable, as well as completing Form U-4 to handle your Investment Adviser Representative Registration.
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Forms ADV Part 2A & 2B:
Formulating all necessary disclosures for the client disclosure brochure and filing them on the IARD system to support your overall Investment Adviser Registration.
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Registration Oversight & Privacy Notices:
Authoring privacy notices to meet federal and state requirements while continuously overseeing and following up on all SEC RIA Registration applications.
Phase 2: Compliance Program Development
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RIA Startup Compliance & Customized Policies:
Creating written policies and procedures tailored to comply with Rule 206(4)-7, establishing robust RIA Startup Compliance with a Code of Ethics, Business Continuity Plan, and Cybersecurity Plan.
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CCO Compliance Calendar:
Drafting a customized compliance program calendar to act as your firm's roadmap for ongoing tasks and testing your firm's policies and procedures.
The Core Compliance
Difference
At Core Compliance, we leverage compliance technologies to enhance and streamline the maintenance of your compliance program.
We work with your team to implement a solution suitable for your firm's Code of Ethics reporting, personal trading oversight, and periodic attestations and disclosures. By combining experienced professionals with industry-leading platforms, we set the stage for a seamless RIA Registration.
"Our team is dedicated to delivering quality, innovative, and value-driven consultation services and providing superior customer support."
— Rashaunia Fuller, Sr. Compliance Consultant
Why Choose Core?
We keep our fingers on the pulse of regulatory developments so you don't have to.
Partner with an experienced compliance team that will take the time to learn the unique challenges of your business to offer comprehensive compliance solutions designed to meet your needs.
Your dedicated team of RIA registration professionals is here to help mitigate risk and sustain the future growth of your firm.
RIA Registration FAQ's
The process generally requires submitting Form ADV, drafting customized compliance manuals, appointing a Chief Compliance Officer, and establishing firm-wide codes of ethics to meet regulatory standards.
Timelines vary based on application complexity, but the SEC typically has a 45-day window to review and approve a complete submission.
Individuals managing portfolios or securing clients on behalf of a registered firm must complete necessary steps to comply with state and federal laws.
Expert consultants translate complicated regulatory jargon into practical steps, helping you avoid costly delays and establish robust internal controls.
Advisors must conduct annual reviews, update filings, manage personal trading oversight, and adapt to constantly evolving regulatory guidelines.
Core Insights and Resources
Expanding your regulatory knowledge is vital for protecting your firm and enhancing your reputation. Explore our latest articles to discover keen insights on RIA Registration, risk management updates, and industry best practices. Our resources provide the timely information you need to stay two steps ahead.