Profile

Cover photo
12 followers|3,997 views
AboutPostsPhotosYouTube

Stream

RIA Registrar

Shared publicly  - 
 
Should you manage your clients' assets yourself, or give that responsibility to a third-party money manager? We help you sort out the pros and cons on our blog: http://ow.ly/yhfKh
1
Add a comment...

RIA Registrar

Shared publicly  - 
 
Not sure how to handle the annual renewal process? Our annual renewal services ensure that your firm is correctly registered with both the SEC and state agencies. Find out more here: http://ow.ly/yhfA7
1
Sydney Davenport's profile photo
 
Hello Sydney
Add a comment...

RIA Registrar

Shared publicly  - 
 
Here are the top five mistakes advisors make in managing their practices - and how to fix them: http://ow.ly/xZtng
1
Add a comment...

RIA Registrar

Shared publicly  - 
 
Depending on your clients' situations, you may want to consider discussing private placements with them. Here's what you need to know about how they are different from other investments: http://ow.ly/xIQWK
1
Add a comment...

RIA Registrar

Shared publicly  - 
 
Curious about what RIA Registrar can do to help your firm? Watch this short video to learn how we helped Bruce cut his RIA compliance costs by 30% with some of the support programs we offer. http://ow.ly/xIQR3
1
Add a comment...

RIA Registrar

Shared publicly  - 
 
Looking for a way to stay on top of the latest news in the RIA industry without spending half your business day researching new articles? Check out this piece from Pat Allen with a tip that could save you hours each day: http://ow.ly/xs8x5
1
Add a comment...
Have them in circles
12 people
Sarah Parez's profile photo
Militello Capital's profile photo
M Asif's profile photo
Suzanne Muusers's profile photo
Business Coaching for Financial Advisors's profile photo
Financial Social Media's profile photo
Sydney Davenport's profile photo
Alex Dvorkin's profile photo
Maria Marsala's profile photo

RIA Registrar

Shared publicly  - 
 
Thinking about using social media to grow your firm? Here are some of the biggest social influencers in the RIA industry, and some lessons learned from the top movers and shakers: http://ow.ly/yhfFY
1
Add a comment...

RIA Registrar

Shared publicly  - 
 
RIA firms have both legal and ethical obligations to make sure that due diligence has been performed on the products they recommend. We put together an outline of what you need to know, and some resources you can use to make sure you stay on top of your due diligence requirements: http://ow.ly/xZtv3
1
Sydney Davenport's profile photo
 
Hi 
Add a comment...

RIA Registrar

Shared publicly  - 
 
As an SEC registered firm you do not have to register with the state securities regulators. However, an SEC registered firm is required to notice file within each state where it conducts business, or if the firm has more than 5 clients with whom it provides investment advice to or engages in a business relationship with. Find out the answers to more common RIA questions, or ask your own, here: http://ow.ly/xZtiu
1
Add a comment...

RIA Registrar

Shared publicly  - 
 
To be more forthright and transparent with your clients, you may need to cut down on the jargon you use in conversations with them. Here are some of the top buzzwords you should try to avoid: http://ow.ly/xIQT1
1
Add a comment...

RIA Registrar

Shared publicly  - 
 
Ready to start your own firm? The good news is that there's never been a better time to start! Here are some good resources for you as you get ready for independence: http://ow.ly/xs8Ex
1
1
RIA Registrar's profile photo
Add a comment...

RIA Registrar

Shared publicly  - 
 
What's the difference between the Series 65 and the Series 7/66? Check out our presentation to find out what you need to know, and some of the most important terms every RIA should be familiar with: http://ow.ly/xs8tD
1
1
RIA Registrar's profile photo
Add a comment...
People
Have them in circles
12 people
Sarah Parez's profile photo
Militello Capital's profile photo
M Asif's profile photo
Suzanne Muusers's profile photo
Business Coaching for Financial Advisors's profile photo
Financial Social Media's profile photo
Sydney Davenport's profile photo
Alex Dvorkin's profile photo
Maria Marsala's profile photo
Contact Information
Contact info
Phone
(800) 441-1219, 651-621-8220
Fax
(651) 379-8048
Address
4105 Lexington Avenue North, Suite 150, Arden Hills, Minnesota 55126
Story
Tagline
Your turn-key solution for RIA registration.
Introduction
Our high-quality services allow independent financial advisors to concentrate on taking care of clients while ensuring they are not in violation of any government regulations.

RIA Registrar provides turnkey solutions that address all the needs of registered investment advisors and their practices through all the different stages of growth, whether you just passed the Series 65 exam (Uniform Investment Adviser Law Examination) or are part of an established firm.

We partner with approved RIA firms to set-up and maintain required books and records, review marketing media and provide training for Chief Compliance Officers and affiliated IARs. In addition, we prepare active RIA firms for onsite audits and personally work with securities regulators for deficient finding's post audit.

For active RIA firms, our program can help you to operate in good standing in your respective state. In addition, we offer ongoing compliance solutions for fiduciary training, marketing media, record keeping, and state/SEC statutes and regulations.

RIA Registrar’s team is made up of experienced professionals, including compliance and registration specialists. We guarantee our prices are the best you will find for services of this type. We design unique solutions individually suited for your firm. We keep you in compliance while you take care of your clients.

With RIA Registrar's help, you can focus on generating revenue and running a profitable financial practice while we oversee your firm's administration.

Hours of Operation: 
M: 8 a.m. to 5 p.m.
T: 8 a.m. to 5 p.m.
W: 8 a.m. to 5 p.m.
Th: 8 a.m. to 5 p.m.
F: 8 a.m. to 5 p.m.