• Compliance Primer
  • Includes Form ADV Part 2 Brochure Template

Want to become a Registered Investment Advisor? No idea where to start? Start here!

Are you trying to tune-up your existing operations? Need to freshen up your documents?

The RIA Do-It-Yourself Guide provides you with the documentation and instructions necessary to register, where to register (with the SEC or your individual state authority), what you need to know about RIA compliance, record-keeping, and other important hints and tips.

The RIA Guide takes a plain-English, user-friendly approach to helping you complete or update your Form ADV (Parts 1, 2A and 2B) and Client Advisory Agreement.

Both the ADV 2 template and Advisory Agreement are included in Word for your easy customization.

The convenient format makes it easy for you to navigate your way through the 5 chapters:

  • General Instructions – Registration Filings – Calculating Assets Under Management
  • Form ADV Guidelines (how to instructions, the logic behind the question, and sample language)
  • Client Advisory Agreement (managed accounts, financial planning, all advisory services)
  • Recordkeeping Requirements – with file folder labels
  • Miscellaneous Information (IA Rep licensing, exams, renewals, other tidbits)

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