Discussion Posts

    • RIA Filing & Registration Firms?

      • Posted by donnicko1
      • on August 13, 2008 6:05 PM EDT

      I'm in the process of setting up my practice independently and was curious if anyone knows any firms (that they recommend) besides National Compliance Services (www.ncsonline.com) who will help with State and/or SEC registration and filing needs for an RIA?

      Any help or guidance would be appreciated.

      Thanks,

      Nick

       
    • Re: RIA Filing & Registration Firms?
      • Posted by the observer
      • on August 13, 2008 7:03 PM EDT

      You might like to check out Pat Burns

       

      http://www.advreg.com/

       

      He does a pretty good job!

       
    • Re: RIA Filing & Registration Firms?
      • Posted by donnicko1
      • on August 14, 2008 11:15 AM EDT

      Thanks Observer, I'll check out Pat.

       
    • Re: RIA Filing & Registration Firms?
      • Posted by JD123
      • on August 18, 2008 2:44 PM EDT

      Nick

      Call me and I'll email you a list of half a dozen.  Tell me a bit about your practice and your city/state and I'll consider who might be a best fit.

      John P. Donovan, CFP®
      VP / RIA Business Development
      Raymond James Financial Services, Inc.
      Investment Advisors Division
      St Petersburg, Florida

      727. 567. 5756 direct line
      www.RJIAD.com