Ready to take control of your future as an independent financial advisor? Launching your own Registered Investment Advisor (RIA) firm is an exciting step, but it comes with complex regulatory requirements, operational decisions, and compliance obligations.

That’s why we’ve created the RIA Launch Checklist—a comprehensive guide to help you navigate every step of the launch process with clarity and confidence.

Your Guide to a Seamless Transition

In This Checklist, You'll Learn:

• Legal and compliance requirements to get registered

• How to choose between SEC or state registration

• Must-have cybersecurity protections to satisfy regulators

• Fee structure guidance for transparency and consistency

• Licensing and client contract essentials

• Operations, billing, and technology setup tips

Download your free checklist now! Just complete the form to get started.