RIA Registrar

Financial ServicesMinnesota, United States2-10 Employees

RIA Registrar operates in the financial services field, offering turnkey regulatory and operational support for independent registered investment advisors. The firm handles the setup and ongoing maintenance of required books and records, reviews marketing materials, and provides training for chief compliance officers and affiliated investment advisor representatives. It also prepares active firms for onsite audits and works with securities regulators to address deficiencies identified after audits. For active RIA firms, the service helps maintain good standing and offers ongoing compliance support focused on fiduciary training, record keeping, and adherence to state and SEC requirements.

Headquartered in Arden Hills, Minnesota, the company partners with approved RIA firms to tailor solutions to each firm's growth stage, from early development to established practices. Its team consists of compliance and registration professionals who design firm-specific programs and oversee administration so advisors can focus on client service and growth.

Sign up for free to view info

Email Format Employee directory