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Register Your RIA Firm with Confidence

This guide walks your team through the SEC registration process—what to prepare, where firms get delayed, and how to build compliance into your foundation.

Your RIA is ready to scale—and now it’s time to register with the Securities and Exchange Commission. The filing process is more than just submitting Form ADV. The SEC evaluates whether your structure, documentation, and operations reflect a compliant, sustainable business.

This guide gives RIA firms the insight they need to align filings with real operations, avoid costly delays, and build a strong foundation for compliance.

What You’ll Learn:

  • What the SEC expects in Form ADV, policies, and supervisory roles

  • Common filing mistakes firms make—and how to avoid them

  • How to use outsourced roles like CCO to strengthen your application

  • A registration checklist to assess your readiness

  • How Oyster helps firms navigate the full registration process

Who It’s For:

  • RIA firms nearing or exceeding $100M AUM

  • COOs, founders, and compliance leaders managing the registration process

  • Firms transitioning from state to SEC registration

  • Multi-advisor or scaling firms preparing for a broader footprint