The financial world is evolving, and now is an exciting time to open a Registered Investment Advisor (“RIA”), but even getting started is a complex task governed by a multitude of regulatory requirements. Oyster provides assistance to its clients in all aspects of running an RIA, including the initial registration with the SEC and various states.
Oyster’s RIA registration services include:
- Key Person Interviews
- Code of Ethics
- ADV Part 1
- ADV Part 2
- Registration of Individuals
- Compliance Policies and Procedures
- DOL Fiduciary Rule Assessments and Compliance
The Oyster Difference:
Prior to beginning registration, Oyster can help you weigh your options and benefits when opening an investment advisor versus a broker-dealer. Oyster does not have a one-size-fits-all approach to registration; we customize manuals and policies and procedures to fit each firm’s business lines, personnel and resources. Oyster will work within your timelines and tailor our services to accommodate your needs. After registration, Oyster has many talented and qualified consultants who can serve as your permanent or temporary Chief Compliance Officer, or simply continue to provide you with compliance support and guidance.