Obtaining an RIA license not only requires investment advisors to meet a range of legal and ethical standards, but also provides multiple advantages, including regulatory compliance, enhanced credibility and expanded market access.

Advantage

  1. Legal compliance: Registering as an RIA is a necessary condition for legally operating an investment advisory business, which ensures that investment advisors comply with the Investment Advisers Act and other applicable laws and regulations. This helps protect the interests of investors and build investors' trust in investment advisors.

  2. Enhance credibility and professional image: The RIA license is a symbol of the professional qualifications of investment advisors, which can demonstrate the investment advisors' expertise, ethical standards and commitment to clients and potential clients. This helps to enhance the credibility and professional image of investment advisors and attract more clients.

  3. Expanded Market Access: Registering as an RIA can expand the market access of investment advisors. Many institutional investors, wealthy individual investors, and pension plans require that they only work with investment advisors who are registered as RIAs. Having an RIA license can increase the opportunities to work with these institutions and individual investors.

We are responsible for the registration of:

  1. Prepare materials: Collect and prepare the documents and information required for registration, including identity proof, educational background, work experience, business model, service items and fee structure, etc.

  2. Submit Form ADV: Complete and submit the SEC's Form ADV, which is the primary application for RIA registration. Form ADV includes detailed information about the investment advisory business, including organizational structure, assets under management, client types, business practices and background.

  3. Review and Registration: The SEC or state agencies will review the submitted registration application and related documents. The review process may take some time and may require further communication and additional materials. Once the registration application is approved, the investment advisor will receive an RIA license.

  4. Comply with regulatory requirements: After registering as an RIA, investment advisors need to comply with regulatory requirements of the SEC or state agencies. This includes filing reports and disclosures on a regular basis, following ethical and legal requirements, and maintaining appropriate records and documents.