RIA Registration

The regulatory structure for investment advisers (RIAs) is complex and confusing, even for the seasoned professionals.  Our staff substantial  experience with RIA Registrations, and has advised investment managers, hedge fund advisers, and financial planners on the alternatives available in the structuring and registration of their RIA advisory activities, as well as providing ongoing operational and compliance support.  The experience allows us to efficiently address your regulatory and operational needs.

The goal of LeGaye Regulatory Support Services is to not only to obtain the respective registrations with the SEC and or state jurisdictions on your behalf, but to also make sure you have the compliance knowledge and tools necessary to successfully circumnavigate the regulatory environment.

In addition to preparing and filing the required registration documentation with the respective regulators , we also work with you to develop your compliance program, included in our full service registration services, we also provide you the following compliance tools:

  • IA Compliance Compliance Manual, addressing
  • Codes of Ethics
  • A books and records retention program, which includes:
    • Personal trading records
    • Registration records
    • Bookkeeping records
    • Account ledgers
    • Client account files Client disclosure documents and privacy notices
  • Business continuity plan which incorporates regulatory concerns
  • Client contracts

For a more detailed discussion of the issues related to the registration of an investment adviser, please see the white paper prepared by our affiliate, The LeGaye Law Firm PC, titled  “Investment adviser Registration and Regulatory Issues” or contact us at LeGaye Regulatory Support Services.