Oyster Consulting’s multi-disciplined professionals provide the detailed knowledge and commitment you need to facilitate your firm’s registration.

RIA Registration

Our consultants provide end-to-end service for RIA registration. We collaborate with your leadership to design a Policies and Procedures Manual that fits with your firm’s capabilities, leverages technology and streamlines processes. We will draft your Form ADV, helping you save time and avoid common mistakes. We also work with you to create a Code of Ethics that captures your firm’s culture while achieving compliance best practices.

Broker-Dealer Registration

We engage a full suite of professionals to usher you and your team through the FINRA New Member Application. At Oyster, we understand how to design practical and reasonable regulatory compliance programs, and can help draft your Business Plan. Don’t go it alone – our industry NMA experts turn one of your firm’s toughest challenges into a smooth process.

Our Process

Step 01


We listen to your goals and priorities. We foster significant transformation by encouraging a dialogue that goes both ways.

Step 02


We make a plan and schedule to give your team the best financial service industry experience for your project.

Step 03


Oyster ensures regular communication to oversee and strengthen the financial compliance management project objectives while accomplishing project tasks.

Step 04


Oyster offers financial services regulatory compliance support to meet your goals and expectations.