Many agents believe that passing their Series 65 is the most difficult part of becoming an investment advisor. While the test can be challenging, real life application of your new designation can be even more difficult. Conducting business as an investment advisor requires you to do business differently than you have before. These differences include reporting and filing of your firm, branding your practice in your community, conducting one-on-one appointments, and much more.

By yourself, this new tasks can be daunting and difficult to master. That is why I recommend that you utilize an independent third-party firm, such as RIA Registrar or another, that can provide a turn-key system to help create your desired business model and state/SEC filing.

You want a firm that does more than just provide a template; you need a firm that will put ALL THE PIECES OF THE PUZZLE together to COMPLETE YOUR FILING and to provide all required documentation. You will also need ongoing compliance, marketing media review, books/record keeping and training for your firm’s Principal, Chief Compliance Officer and affiliated IARs.