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Starting Your Own RIA

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

Start a New RIA

​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.

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Reason #2 that sets us apart: Former Regulatory Experience

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

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Reason #3 that sets us apart: Competitive Pricing

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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.  We also charge half upfront and half after approval, to spread your costs out.

 

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

 

RIA Set-up Package Includes:

  • A customized Written Policies and Procedures Manual for your new firm 

  • A customized Business Continuity Plan for your new firm

  • A customized Privacy Policy Plan for your new firm

  • A customized Code of Ethics for your new firm

  • A customized Investment Advisory Agreement for your new firm

  • A customized Firm Brochure, or Form ADV Part 2A disclosure document for your new firm and to be provided to all clients

  • A customized Brochure Supplement, or Form ADV Part 2B disclosure document for each required Investment Advisor Representative (“IAR”), to be provided to all clients

  • A customized Form Client Relationship Summary, or Form ADV Part 3, for your new firm and to be provided to all clients (For SEC firms only)

  • Assistance in preparation of Entitlement forms for the IARD/CRD systems

  • Assistance in preparation of the Form ADV Part 1A and 1B

  • Form U4 Filing for each Investment Advisor Representative

  • Ongoing communication with the regulators regarding the status of the application

  • Draft responses to regulatory inquiries

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

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

 

Throughout the registration process, PCC will also offer advice on areas such as regulatory examinations and interaction with the regulators. 

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Did you know......the SEC conducts a New Registrant Examination within the first 18 months after approval?  We help prepare you.  

New RIA Set-up

Contact Us Today at:  (888) 240-4299

All information is always kept confidential

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, but we cannot guarantee that any areas advised will be favorably viewed by regulators.

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