Registered Investment Advisor Registration
Registered Investment Advisor Registration
Starting your own RIA is exciting, but some of the steps to get there can be challenging.
The Oyster Difference
Oyster Consulting’s experts make the registration process easier so you can focus on other tasks. We are a collaborative team dedicated to helping your firm start strong and stay strong. Our consultants will work with your leadership to design a Policies and Procedures Manual that fits with your firm’s business model, leverages technology, and streamlines processes. We will draft your Form ADV, helping you save time and avoid common mistakes. Our experts will work with you to create a Code of Ethics that captures your firm’s culture while achieving compliance best practices.
Why It’s Important
Registering your Investment Advisor with the SEC is more than just completing the required forms. Your disclosures on Form ADV, your Code of Ethics and your Policy and Procedures Manual all inform the SEC and your clients of how you will be conducting your business. Leveraging an experienced consultant ensures your documents are accurate, and are reported correctly.
Regulatory Background
Generally, only larger advisers that have $25 million or more of assets under management or that provide advice to investment company clients are permitted to register with the Commission. Firms registering with the SEC must file Form ADV and keep it current by filing periodic amendments, including an annual amendment on Schedule I to Form ADV. You must also, among other things: comply with the “brochure rule,” which requires most advisers to provide clients and prospective clients with information about the adviser’s business practices and educational and business background; maintain accurate and current books and records, as specified by SEC rules; and be subject to inspection and examination by the SEC staff.
Download the Starting Your RIA eBook to learn about registration requirements, the benefits of outsourcing and how the right technology platform provides the best client experience
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RIA Registration Services
Our Process
Step 01
Discover
We listen to your goals and priorities. We create transformative change by inviting a two-way discussion.
Step 02
Plan
We customize your project by creating a scope and timeline to deliver the best experience for your team.
Step 03
Implement
Oyster maintains consistent communication to monitor and reinforce project goals while completing project deliverables.
Step 04
Deliver
Whether your need is ongoing consulting or project based, Oyster will deliver a quality product that encapsulates your goals and expectations.