• How to structure the legal ownership of an RIA?🔍
• How To Structure The Legal Ownership Of An RIA?🔍
• Six Important Legal Steps to Take When Starting an RIA🔍
• 5 Important Legal Steps Of An RIA Sale🔍
• At a glance🔍
• Six Key Legal Steps to Start an RIA and Why They're Important🔍
• Your Complete Guide to Starting an RIA Firm🔍
• STARTING A REGISTERED INVESTMENT ADVISER FIRM🔍

How to structure the legal ownership of an RIA? - Transition To RIA

Another important consideration is the legal ownership structure you plan to have for the RIA. This is relevant whether you are a sole owner/operator, or part ...

How To Structure The Legal Ownership Of An RIA? - YouTube

I'm Brad Wales with Transition To RIA. This is video #52 of the Transition To RIA video series where I answer RIA related questions I get ...

Six Important Legal Steps to Take When Starting an RIA - Articles

... structure for your RIA. For a more in-depth discussion on structuring ownership of your RIA firm, please click here. Choose your firm's name ...

5 Important Legal Steps Of An RIA Sale, Merger Or Acqusition

For all of the myriad ways financial advisors can structure and run their practices, firm owners generally encounter similar stages in the ...

At a glance: Legal and regulatory considerations for becoming an RIA

Weighing the legal and regulatory considerations associated with the RIA business ... If you are not going to be the sole owner of your RIA, write a business ...

Six Key Legal Steps to Start an RIA and Why They're Important

This will require an analysis with respect to the plans for ownership and operation of your RIA including how many owners you will have, what ...

Your Complete Guide to Starting an RIA Firm - GeoWealth

A corporation or LLC offers the greatest amount of protection, while sole proprietorship or partnership offers the least. Consult with a legal professional to ...

STARTING A REGISTERED INVESTMENT ADVISER FIRM

RIAs commonly use one of three legal structures: Sole Proprietorship. In a ... If it's a partnership, who will the partners be and how will the ownership be split ...

Three Things You Need to Know When Forming an RIA

How Should the RIA be Structured? An important first step in forming an RIA is determining which type of corporate structure you want to use.

Becoming a Registered Investment Advisor (RIA) - Investopedia

It should be noted that while corporate registration may limit an advisor's financial liability, it will not allow one to escape legal or regulatory action if ...

Understanding RIA Ownership and Influence

Who Owns Your RIA Firm? Navigating the Landscape of Private Equity in RIAs · Who Owns the Firm? Get a clear picture of who holds ownership stakes ...

Starting Your RIA - Choosing Your Entity - Oyster Consulting

Another thing to think about in terms of funding your entity, and what structure to use, is how you're going to try to fund that entity. If you' ...

The Definitive Guide to the Registered Investment Advisor (RIA ...

Enforcement: If an RIA is found to be in violation of securities laws or regulations, the SEC has the authority to take enforcement actions, ...

RIA Registration & Setup - AdvisorLaw

AdvisorLaw offers custom RIA setup and registration, as well as ongoing compliance services for registered investment advisor (RIA) firms.

Planning for success: Five considerations for selling your RIA

The sale of your business will very likely be deemed an assignment to the buyer of your client advisory agreements. To properly assign its ...

RIA Compliance: A Comprehensive Guide - COMPLY

Part 1A asks a lot of “who” questions, primarily centered around the owners and advisors at your firm. This section is required whether you are registering with ...

Frequently Asked Questions about Starting an RIA - Answered

In most cases, that means passing the FINRA Series 65 Uniform Investment Advisor Law exam. ... structure. Ignoring compliance requirements ...

How To Register Your RIA Firm: SEC Vs State Registration

In the United States, Registered Investment Advisers (RIAs) are required to register in one of 2 ways: with the Federal government (namely ...

Pros and Cons of Starting Your Own Financial Advisory Firm or RIA

RIAs typically operate under a fee-based model, charging clients an ongoing percentage of assets under management or a flat retainer fee. This ...

Your Firm, Your Terms - How to Start an RIA - XYPN

So, you've decided to start your journey toward fee-only, independent RIA firm ownership (or as we like to call it, your firm on your terms). Congratulations!