NEW RIA REGISTRATION
Get your new firm effective with our RIA Registration Service.
A dedicated Key Bridge team drafts and submits every filing your new firm needs, serves as your point of contact with the SEC and state regulators, and hands you a compliance program that is ready to launch.
Get your new firm effective with our RIA Registration Service.
A dedicated Key Bridge team drafts and submits every filing your new firm needs, serves as your point of contact with the SEC and state regulators, and hands you a compliance program that is ready to launch.
WHO IT’S FOR
Built for advisors going independent.
Whether you are breaking away from a wirehouse or a broker dealer, or standing up your first firm from scratch, the filing service carries the regulatory load so you can concentrate on your clients and your business. Not understanding the rulebook the way a career compliance professional does is no reason to hold back, and it is exactly the gap we fill.
HOW IT WORKS
One flat fee. Two ways to use it.
Our RIA registration service can stand entirely on its own, or it can be the front door to a longer relationship with your compliance team already in place.
Option One
File, then take it from here
Pay one flat fee up front and we get your firm effective across the roughly three month engagement. At the end of it, you decide how you want to handle compliance going forward, with no strings attached and everything you need to run on your own.
Flat filing fee, paid up front. Standalone.
Option Two
File, then keep your team in place
Roll straight from launch into one of our ongoing service levels, whether that is Outsourced CCO, Enterprise, or Foundations, billed monthly. The same people who stood up your firm keep running your program, so nothing gets handed off at the moment you go live.
Flat filing fee, then a monthly service level.
WHAT’S INCLUDED
Everything it takes to open your doors.
From your first consultation to the day your IARs can charge advisory fees, the work below is handled for you.
Filings and registration
Your compliance program
Your team in the room
Your path to effective.
A clear sequence, guided the whole way. Here is what standing up your RIA looks like from the first filing to the day you can serve clients.
We set up your access
We help your firm establish a FINRA SAA login and take admin access so your lead consultant can make filings and pay fees on your behalf.
We draft and submit your ADV
Through our clearly structured onboarding, we gather what we need and draft your initial ADV filing to render your firm effective with the SEC.
We prepare your advisors
While the SEC reviews your initial ADV submission, we draft the U-4 and Part 2B documents for every investment advisor representative at your firm.
Your firm becomes effective
Generally your firm will be approved and effective in the weeks following submission, and we use that waiting period to build many of your key compliance documents.
Typically 35 to 45 days after submissionYour advisors go live
Once the ADV is approved, we register your IARs under the RIA. As soon as each registration clears, they can begin serving clients and charging advisory fees.
You are open for business.
Filed, registered, and effective, with a compliance program built to reflect your new firm.
THE DIVISION OF LABOR
You bring the basics. We handle the rest.
The filing service can stand entirely on its own, or it can be the front door to a longer relationship with your compliance team already in place.
You come prepared with
Three Things
That's all there is to it!
Your Key Bridge team will
Carry the filing from start to finish
READY TO LAUNCH
Let's get your firm effective.
Tell us a little about the firm you want to build. Send us a message and we'll map out your path to effective together, from your first filing to the day you open your doors.