Starting your own Registered Investment Advisor (RIA) firm is exciting, but it’s also complex. From compliance and business structure to marketing and tech, there are a lot of moving parts. That’s why we created this step-by-step guide (almost like a checklist) that breaks down the process into clear, manageable actions.
Inside, you’ll find high-level guidance on everything from starting an RIA with no AUM and registering your firm to building your tech stack, developing your client service model, and creating a marketing strategy that works. Each step includes the critical considerations you’ll face as a new firm owner, so you can launch with confidence and avoid costly missteps.
The roadmap also highlights how XYPN’s support ecosystem—compliance experts, tech partnerships, back-office solutions, and a thriving community of peers—fits into each stage of your journey.
If you’re serious about setting up an RIA, this guide is your first step. Download it today and set yourself up to build your RIA on your terms.
FREE Step-by-Step Roadmap
Starting Your Own RIA
Build Your Business Foundation
Get guidance on creating a business plan, choosing your structure, handling compliance, and setting up your financial systems so you start off on solid ground.
Power Your Firm with the Right Tools
See which tech, processes, and workflows you’ll need to run efficiently, deliver great client experiences, and stay compliant from day one.
Launch and Grow with Confidence
Learn how to market your firm, attract your ideal clients, and plug into XYPN’s expert support and community to accelerate your success.