RIA Registration & Launch Support
Complete end-to-end support for SEC and state investment advisor registration
Your Path to RIA Registration
Becoming a registered investment advisor is a significant undertaking. Between Form ADV preparation, policy drafting, regulatory filings, and compliance infrastructure setup, the process can be overwhelming.
NextReg guides you through every step of SEC or state registration, ensuring you launch with a robust compliance foundation built to institutional standards.
Whether you're spinning out from a larger firm, launching a new fintech platform, or establishing an independent practice, we provide the expertise and infrastructure to get you registered efficiently and correctly.
Complete Documentation
We prepare all Form ADV parts, brochures, and regulatory filings with precision and institutional quality.
Compliance Infrastructure
Launch with a complete compliance manual, policies, procedures, and ongoing monitoring framework.
Efficient Timeline
Streamlined process typically completed in 4-8 weeks depending on business complexity and state requirements.
What's Included in Registration
Everything you need to launch your RIA correctly
Regulatory Filings
- Form ADV Part 1 (IARD filing)
- Form ADV Part 2A (Firm Brochure)
- Form ADV Part 2B (Brochure Supplement)
- State registration forms (if applicable)
- Form U4 coordination
- Filing fee management
Compliance Manual & Policies
- Comprehensive compliance manual
- Code of ethics
- Insider trading policy
- Personal trading procedures
- Privacy and cybersecurity policy
- Marketing and advertising policy
- Books and records policy
- Business continuity plan
Operational Setup
- Compliance calendar setup
- Books and records framework
- Vendor due diligence templates
- Client agreement review
- Marketing materials guidance
- Staff training materials
Post-Registration Support
- First-year compliance guidance
- Regulatory update notifications
- Marketing review services
- Quarterly compliance check-ins
- Annual ADV amendment support
- Ongoing CCO consultation
The Registration Process
Typical timeline from engagement to registration approval
Discovery & Information Gathering
Comprehensive intake process to understand your business model, services, client types, and operational structure
Documentation Preparation
Form ADV drafting, compliance manual creation, and policy development customized to your firm
Review & Refinement
Collaborative review process with revisions based on your feedback and operational realities
Filing & Submission
IARD filing coordination, state registration (if applicable), and regulatory submission management
Approval & Launch Support
Post-approval guidance, operational setup assistance, and transition to ongoing compliance support
Ready to Start Your Registration?
Schedule a consultation to discuss your registration timeline and get started with NextReg.
Schedule Consultation