Start your RIA with a proper compliance program

There’s no better time to get compliance done right—than right from the start. Our experts will create an RIA compliance program that sets you up for success now and as your firm grows.

Get Compliance Done Right

Being your own RIA means you now have to manage compliance

You know you’ve got the experience and clients to create your own firm, to control your own destiny. But there’s a lot that goes into starting up an RIA and every piece of the puzzle is important.

We want to help you get the compliance part of this done right. Because the easiest time to create a proper compliance program is right at the start.

Get everything you need to launch an SEC-registered RIA—starting at an affordable cost of $5,900

Some RIA startups use a lawyer to set up their compliance. That can be overly expensive.

Some use providers that deliver an incomplete solution, such as an excluded compliance manual.

Joot’s RIA Registration Services are both affordable and complete. Our package includes, at a minimum, these documents:

  • FINRA Entitlement
  • Form ADV Part 1
  • Privacy Policy Statement
  • Adviser Compliance Manual
  • Adviser Code of Ethics
  • Adviser Business Continuity Plan
  • Adviser Cybersecurity Policy

Depending on the type of clients you have and the financial products or advice you provide, you may be required to meet other registration requirements—such as a Form ADV 2A or ADV 3. Our experienced team can help you determine what’s required and provide the necessary documents.

Be confident you have the proper compliance program in place

It’s easy to underestimate compliance when you’re starting up an RIA, especially if you rely on generic templates that aren’t tailored to your firm. Instead, create an appropriate structure so you’ll be confident you’re launching with a solid compliance program that will last you well beyond the start.

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