Registered Investment Advisor (RIA) Registration

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Simplify your RIA registration. Oyster Consulting ensures compliance and streamlines your path to success.

Navigate the Complexity of RIA Registration 

Starting your own RIA firm is an exciting opportunity. It offers independence and the chance to help clients in a meaningful way. At Oyster Consulting, we share in your excitement and are dedicated to supporting you every step of the way. However, it’s essential to be aware of the challenges that come with RIA registration:

  • Regulatory Compliance: Understanding and adhering to SEC and state securities regulator requirements can be complex and time-consuming.
  • Documentation Requirements: Drafting and maintaining accurate and comprehensive documents, including Form ADV and a Code of Ethics, demands meticulous attention to detail.
  • Compliance Programs: Developing robust compliance policies and procedures tailored to your firm’s operations is crucial for meeting regulatory standards.
  • Ongoing Maintenance: Keeping documents current with periodic updates and maintaining accurate records requires ongoing diligence.
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A Comprehensive Solution 

Oyster Consulting offers comprehensive services to help you successfully navigate the complexities of RIA registration:

  • Application and Documentation: We assist with filing your application and drafting essential documents, such as Form ADV Parts 1, 2, and 3, and a customized Code of Ethics.
  • Compliance Programs: Our team develops tailored compliance policies and procedures, along with a detailed compliance calendar to ensure ongoing adherence to regulatory requirements.
  • Individual Registration: We help register key individuals within your firm, ensuring they meet all regulatory standards.
  • Additional Support: Beyond registration, we provide services such as business continuity planning, information security policy development, and social media archiving.
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RIA Registration Services

The Oyster Difference 

Oyster Consulting’s experts make the RIA registration process easier so you can focus on other tasks. We have extensive experience assisting with the registration of investment companies. Our RIA consulting experts have worked with the Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) for decades. We are a collaborative team dedicated to helping your advisory firm start strong and stay strong.

  • Our consultants will assist your leadership in developing a Policies and Procedures Manual that fits your business model. They will ensure that the manual utilizes technology efficiently and streamlines processes.
  • We will draft your Form ADV, helping you save time and avoid common mistakes.
  • Our experts will help you create a Code of Ethics that reflects your company’s values and meets compliance standards.
Meet Our Consultants

Case Study

Challenge

Finding The Right Vendor

Firms often find that vendors fail to add value and become a source of frustration rather than support.

Solution

Industry Experts

Utilizing Oyster Consulting’s experienced and knowledgeable consultants transforms your vendors into valuable resources.

Outcome

Overall Growth

Our consultants have specialized skills to help your firm achieve its business goals, growth objectives and maintain a system of reasonable compliance.

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Discover how our expert consultants can drive your success—get the full case study and learn more about how to partner with the right vendor for your firm’s success.

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