Hybrid RIAs

A Hybrid RIA is typically defined as a person registered with a broker-dealer and owns their own registered investment advisor (“RIA”). More and more, financial advisors are choosing this option, giving them the ability to run their own RIA while continuing to offer products and services through a broker-dealer. Whether you are an existing broker-dealer looking to attract and retain advisors, or just starting your journey to become a registered financial services firm, Oyster can help you start, run, grow and protect your Hybrid RIA. Oyster Hybrid RIA services include:

• Initial Registration
• Policies and Procedures creation or review
• Code of Ethics creation or review
• Written Supervisory Procedures creation or review
• Compliance Program design or review
• Registration and Licensing
• Training and Education
• Audit and Testing
• Advertising and Communications review
• Executive Recruiting
• Outsourced or Interim CCO, FINOP, Supervisory Principal, and/or support
• DOL Fiduciary Rule Assessments and Compliance

The Oyster Difference

Oyster Consulting has a wealth of consultants who are experts in the areas of not only broker-dealers and investment advisors individually, but have significant experience in the hybrid space. Oyster can assist your firm in every aspect of the hybrid world, and continue to provide your firm support in keeping up with changes to industry regulations.