FREE Compliance Guide

The Essential Guide to RIA Registration

A step-by-step guide to State and SEC registration of your Registered Investment Advisor (RIA) firm. Learn what to expect from XYPN Compliance—a leader in RIA registrations and compliance consulting—so you can navigate initial registration with confidence. 


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?