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 Registration
Choose RIA Registration and our compliance experts will lead the way and solve registration complexities for you.
- RIA Registration
- Price: $3,000 (year contract); monthly payment option: $300/mo for 12 months
RIA Compliance Foundations Tiers
Starting your own business — especially a highly regulated RIA — can feel overwhelming. If the RIA Registration Tiers don’t provide enough support, consider upgrading to our 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.
- Standard Compliance Foundations
- Price: $6,000 (year contract); monthly payment option: $550/mo for 12 months
- Enhanced Compliance Foundations
- Price: $10,000 (year contract); monthly payment option: $910/mo for 12 months
FAQs
How do I sign up for Registration?
If you’re signed up for a membership kit (Essential, Power, or Platinum), there’s no need to sign up separately for registration — it’s already included in your Kit. However, if you’re a new member without a Kit, please complete the following steps before enrolling in a Compliance Registration tier:
- Look through RIA Registration FAQs!
- Attend the Preparing for Registration call (weekly on Thursdays).
- Submit your Registration Questionnaire using the link provided during the Preparing for Registration call.
- Choose your RIA Registration compliance tier and submit a request through the member portal dashboard.
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.