Download the RIA Legal & Compliance Checklist

The Legal & Compliance Checklist


Fill out the form to download your free PDF copy of the RIA Legal & Compliance Checklist.

What's in the RIA Legal & Compliance Checklist?

Get the RIA Legal & Compliance Checklist to help ensure a smooth transition while launching your own RIA.


We help advisors start an independent practice or grow their RIA through strategic communications, custom marketing plans, and sales coaching.

When it comes launching your own RIA, it can be challenging to navigate the legal and regulatory side of things and to make sure you're not missing anything.

This 4-page PDF streamlines the items you should consider, categorized into 5 topics:

  • Considerations if transitioning from another firm
  • Forming your new RIA firm
  • Registration of the firm and its personnel
  • Compliance program
  • Other essential legal matters

How will it help me?

Addressing all the legal and regulatory matters is crucial when launching your RIA. This checklist will help you cover the bases and have a smoother transition.


We developed this checklist after years of work helping financial advisors transition from firms. We hope the Legal & Compliance Checklist will help you:

  • Establish the foundation for a successful RIA launch
  • Become even more confident about your decision to start or launch an RIA
  • Check a few more to dos off of your list, without added stress

If you would like advice on where to go from here, we'd love to talk with you. Don't hesitate to contact us and set up a meeting with one of our transition experts!


Let’s Explore Your Next Steps

Download the RIA Legal & Compliance Checklist: