Turnkey RIA Registration and Compliance Services

Get off to the right start with your advisory firm. Whether you need a little help getting started or a turnkey solution, MainStay can tailor a program to meet the unique needs of your firm.

Our RIA Registration service provides you with expert assistance to get your new RIA firm up and running as quickly as possible. MainStay provides a comprehensive solution that allows you to leverage our experience and guidance to prepare complex registration and compliance documents. Our comprehensive solutions include:

 
Business and Regulatory Consultation Included
Custodian Selection Included
Research applicable SEC or State requirements Included
Obtain entitlements for the IARD System Included
Draft and file Form ADV Part 1A and 1B Included
Draft and file Form ADV Part II and Schedules Included
Prepare Form U-4 (Uniform Application for Securities Industry Registration or Transfer) or Form U-10 Uniform Examination Request for non-FINRA Candidates) Included
Scheduling of Series 65 or Series 66 exam Included
Prepare state specific requirements for primary state, as applicable Included
Responding to regulatory inquiries and deficiency comments Included
Compliance Policies and Procedures, including:
  • Written Supervisory Procedures
  • Code of Ethics
  • Client Privacy
  • Business Continuity Plan
 D-I-Y Toolkit
Client Advisory Contract D-I-Y Toolkit
Investment Policy Statement D-I-Y Toolkit
Ongoing compliance and regulatory support Optional

Start on your road to independence with the right partner. For a free consultation and to learn more about our qualifications, please Contact Us.