RIA registration for financial advisors
The Launch with Confidence package takes a firm from idea to approved. Legacy Compliance handles state or SEC registration end to end, so the advisor is not learning IARD in the middle of a filing deadline.
We draft the compliance manual and the disclosures firms are asked for first: Form ADV Parts 1A, 1B, 2A, and 2B, plus Form CRS. The standard timeline is 4–8 weeks. A rush filing is available when the firm needs to move faster. Enroll in an ongoing tier within 60 days of approval and $1,000 is credited toward that service.
What is included
- Custom compliance manual and disclosures (ADV 1A, 1B, 2A, 2B, and Form CRS)
- IARD filing guidance through state or SEC registration
- Up to 3 investment adviser representatives, with additional representatives priced separately
- Standard 4–8 week timeline, with a rush option
- $1,000 credit toward an ongoing tier when you enroll within 60 days of approval
Common questions
How long does RIA registration take?
The standard timeline is 4–8 weeks. A rush option is available when the firm needs to move faster. The regulator, not Legacy Compliance, sets the final approval date.
Which forms does the registration package include?
The package drafts Form ADV Parts 1A, 1B, 2A, and 2B, Form CRS, and a custom compliance manual, then files through IARD.
Pricing for this work is on the services page. Also see Ongoing Compliance, Marketing and Email Review, Mock Audits and Exam Support.