FREE Compliance Guide

The Essential Guide to RIA Registration

Read this comprehensive step-by-step guide to State and SEC registration of your RIA. Learn what to expect from XYPN Compliance—a leader in RIA registrations and compliance consulting—so you can navigate initial registration with confidence. In this guide, you'll learn:

  • How to prepare for registering in your state or with the SEC
  • How to prepare an ADV - and what to look out for in the submission process
  • Drafting and submitting the perfect form U4 
  • What to expect in the registration approval process 

Registering your RIA can be a sea of compliance questions. Luckily, we've heard them all and we're passing that knowledge on to you. Our team of former state regulators and compliance experts wrote this guide to get you started in the right direction. Download this guide and prepare for registering your RIA today!


Demystify the Process

Understand the steps taken during State and SEC Initial Registration so you can fearlessly navigate registering your RIA with confidence.

Prepare Your Application

Easy to follow step-by-step guide to preparing your State-level or SEC RIA application and the required forms and documents.

Establish Best Practices

Find out how spending a little time upfront can gain you time back throughout the year and set yourself up for compliance management success.

Ready to take the next step?