RIA Registration

Explore our RIA Registration and Compliance Foundations tiers, each designed to support your successful RIA registration. Read on to discover what’s included in each option and find the perfect fit for your needs!

RIA Compliance Foundations Tiers

Starting your own business — especially a highly regulated RIA — can feel overwhelming. If RIA Registration doesn’t provide the depth of support you're looking for, consider upgrading to one of the Compliance Foundations options.

Our compliance team has the expertise to help you successfully launch and manage your RIA. By choosing our initial registration service paired with first-year compliance coaching, you’ll receive guidance from seasoned compliance experts. They’ll assist with State or SEC registration, crafting effective policies and procedures, and establishing streamlined operations and compliance practices. This comprehensive support during your first year will lay the groundwork for your firm’s long-term growth and success.

1. Standard Compliance Foundations
   1. $6,150 for a one-year contract—or—$564/month for 12 months
2. Enhanced Compliance Foundations
   1. $10,250 for a one-year contract—or—$933/month for 12 months
3. Compliance Foundations Lite exclusive to members who've completed RIA Registration
   1. $2,950 for a nine-month contract

FAQs

How do I sign up for RIA Registration?

Important Note:  All members complete steps #1-5. If you’re signed up for a Launch Kit (Essential, Power, or Platinum), there’s no need to sign up separately for registration; it’s already included in your Launch Kit. Therefore, skip step #6 if you purchased a kit. If you did not purchase a kit, complete step #6.

1. Review the RIA Registration Roadmap
2. Watch the Preparing to Register video.
3. Complete the "Registration" section of XYPN Academy Launch Sequence.
4. Book and attend the two Registration Coaching Calls:
• Your Client Avatar & Managing Your Time/Energy
• Service Model & Fees
5. Establish your LLC name and update your XYPN Portal settings with your new firm name.
6. Submit your RIA Registration Questionnaire using the link provided during the Preparing for Registration call.
7. Choose your Registration Compliance Tier and submit your Sign-Up form.

Contact

Questions? Please contact the Membership Team at membership@xyplanningnetwork.com or head over to an RIA Registration Drop-In session. You can access more compliance-related services by searching "compliance" in the Member Benefits section or reviewing the Compliance Knowledge Base in your portal.

Last Updated: 8/24/26