Starting Your Own RIA

Polaris Compliance Consulting provides you with experienced guidance on starting your own RIA, whether with the Securities and Exchange Commission ("SEC") or State Securities authorities. 

Reason #1 that sets us apart: Personal, Customized Services

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Although we have a well-organized process, we do not treat your situation as an "assembly-line" case, but we provide personal, customized services based on your specialized business model. We offer solutions that meet your needs and help you get your RIA set up as quickly as possible, while meeting all of the required rules and regulations.

Reason #2 that sets us apart: Former Regulatory Experience

The registration process is conducted or overseen by a former national regulator. With increasing rules and regulations, it is important to turn to a former national regulator and experienced compliance professional to advise on registration as well as other compliance matters.

Reason #3 that sets us apart: Competitive Pricing

We have competitive pricing for the best price and quality. We take pride in our quality, and we are there for you every step of the way through approval. We go above and beyond to serve you with flat rate services and no "extra" or "hidden" fees.

 

Reason #4 that sets us apart: Communication With Regulators 
We stay in communication with the regulators to help try and minimize your approval time.

Reason #5 that sets us apart: We Welcome Inquiries Regarding Regulatory Disclosures

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Are you concerned you may not get approved because of regulatory disclosures? While we cannot guarantee approval, we can give you our experience with the regulators on your particular situation.

 

Polaris Compliance Consulting can provide you with all of the services below for a low flat fee.  Please contact us regarding pricing.

REGISTRATION FILINGS

  • Preparation and filing of Entitlement Forms for the IARD/CRD systems

  • Preparation and filing of the Form ADV Part 1A and 1B

  • Preparation and filing of the appropriate state(s)

  • Preparation of Form U-4 (Uniform Application for Securities Industry Registration or Transfer) for each Investment Advisory Representative

CUSTOMIZED DOCUMENTS

  • Customized attestation documents for on-going compliance including: 

    •   Written Policy and Procedures Manual understanding and receipt acknowledgment 

    •   Code of Ethics understanding and receipt acknowledgment 

    •   Outside Business Activities acknowledgment 

    •   Personal securities transactions of advisors and outside investments attestation

    •   Customized Written Policies and Procedures Manual

  • Customized Business Continuity Plan

  • Customized Privacy Policy

  • Customized Code of Ethics

  • Customized Firm Brochure, or Form ADV Part 2A, disclosure document, to be provided to all clients

  • Customized Brochure Supplement, or Form ADV Part 2B, disclosure document, for each Investment Advisor Representative, to be provided to all clients

  • Customized Investment Advisory Agreement

  • Solicitor Disclosure Document (if applicable)

ADDITIONAL SERVICES/SUPPORT

  • Responding to regulator requests/inquiries during the registration process

  • Unlimited e-mail or phone access, 7 days a week to a compliance expert to answer any compliance related questions during the registration process

  • Review of all initial advertising documents, including business cards, letterhead, seminars, direct mailings, websites, etc.

  • Chief Compliance Officer training

  • Assistance in obtaining study materials and scheduling any non-licensed associates with taking the appropriate test(s)

Thank you for your interest!

Contact us for more information:

Disclaimer: Polaris Compliance Consulting, LLC is not a law firm, and we do not give any legal advice. As a consulting firm, we give our personal interpretation of the rules and regulations based on our experience, and we cannot guarantee that any areas advised will be favorably viewed by regulators.