RIA Registration Services

Considering breaking away? 

Want to take charge of your business?

Worried about what you don’t know and compliance traps?
Relax. We’ve got this.

 
We’ve helped hundreds of firms register their independent RIA firms. We have a dedicated registration team to guide you through business model decisions and ensure you’re aware of your regulatory obligations.
 
Whether you’re registering in your home state or with the SEC, we’ll get you through the registration process, handle correspondence with the regulators, and keep you informed every step of the way.
 
Once you’re registered, we’ll also provide you with a compliance manual tailored to your new business.
 
Registration services start at $3,400.
 
Call us today at (800) 800-3204 to discuss how we can help!
Or complete the form below to be contacted directly.

Recent Blog Posts

NCS Regulatory Compliance Expands Nationwide Operations

November 29, 2018

FOR IMMEDIATE RELEASE: Londonderry, N.H. – November 26, 2018 – NCS Regulatory Compliance, the nation’s leading regulatory compliance consulting firm, is pleased to announce that they have expanded into California and Atlanta.  Kerry Rider has joined the firm as Vice President,…

Read More

Tech Tuesday — DDoS: An Old Cyber Attack Becomes New Again

November 27, 2018

As 2018 is on its way out, we reflect on the plethora of massive hacks resulting in endless concern for SMBs & enterprise security professionals as well as the necessary budgetary spend to mitigate and proactively defend against malicious actors….

Read More

Top 10 FAQs for Providing Investment Advice to 401(k) Plan Participants

November 13, 2018

Many investment advisers provide investment advice to 401(k) plans. In these instances, the 401(k) Plan itself is the client. In other words, the adviser is hired by the employer to design or manage the Plan itself. In other cases, the…

Read More
View More Posts