RIA Registration Compliance Tiers
Explore our RIA Registration Tier 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 Tiers
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
Can I change my compliance tier after signing the registration contract?
Yes, you can upgrade your compliance tier at any time. However, downgrades are not permitted.
How do I sign up for a Registration Tier?
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!
- Complete the "Registration" section of your Launch Sequence in XYPN Academy.
- Book and attend the two Registration Coaching Calls:
- Establish your LLC name and update your XYPN Portal settings with your new firm name.
- Attend the Preparing for Registration call (weekly on Thursdays).
- Submit your Registration Questionnaire using the link provided during the Preparing for Registration call.
- Create your firm’s FINRA SAA account.
- Choose your IR compliance tier and submit your IR Sign-Up form.
Important, Please Note: Steps 1–7 must be completed before signing up for registration and picking your tier in Step 8. If Steps 1–7 are not completed, your registration process will be delayed. While Steps 1–7 can be completed in any order, Step 6 requires that Step 5 is finished first.
Contact
Questions? Please contact the Membership Team at membership@xyplanningnetwork.com or head over to an Registration (IR) 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.