Registered Investment Advisor (RIA) Registration

Navigate the Complexity of RIA Registration 

Starting your own RIA firm is an exciting opportunity. It offers independence and the chance to help clients in a meaningful way. At Oyster Consulting, we share in your excitement and are dedicated to supporting you every step of the way. However, it’s essential to be aware of the challenges that come with RIA registration:

• Regulatory Compliance: Understanding and adhering to SEC and state securities regulator requirements can be complex and time-consuming.

• Documentation Requirements: Drafting and maintaining accurate and comprehensive documents, including Form ADV and a Code of Ethics, demands meticulous attention to detail.

• Compliance Programs: Developing robust compliance policies and procedures tailored to your firm’s operations is crucial for meeting regulatory standards.
• Ongoing Maintenance: Keeping documents current with periodic updates and maintaining accurate records requires ongoing diligence.

A Comprehensive Solution 

Oyster Consulting offers comprehensive registration and compliance consulting services to help you successfully navigate the complexities of RIA SEC registration:

• Application and Documentation: We assist with filing your application and drafting essential information, such as Form ADV parts, customized Code of Ethics, conflicts of interest, principal office and place of business and other regulated areas for investment advice.
• Compliance Programs: Our team develops tailored compliance policies and procedures, along with a detailed compliance calendar to ensure ongoing adherence to regulatory requirements.
• Individual Registration: We help register key individuals within your firm, ensuring they meet all regulatory standards.
• Additional Support: Beyond registration, we provide services such as business continuity planning, information security policy development, and social media archiving.