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RIA Start Up

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Following are the initial steps that need to be taken to set up your own RIA:

  1. Determine the name of your firm
  2. Set up your corporate structure, i.e. LLC, S.C., C Corp, etc. and file the appropriate paperwork with the appropriate state
  3. Obtain appropriate licenses from your state to operate as a registered investment advisor representative (Series 65, 66, etc.)
  4. Prepare Investment Management and Financial Planning Agreements
  5. Prepare ADV Parts I and II
  6. File application for your RIA with the appropriate state agency (if under $25 Million in AUM) or with the SEC (if over $25 Million)
  7. Determine office location
  8. Purchase office equipment
  9. Design logo
  10. Order stationery, business cards, etc.
  11. Design website
  12. Prepare compliance manual
  13. Prepare Risk Tolerance and Confidential Discovery questionnaires
  14. Determine investment management solution

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Janet Tyler Johnson, CFP®

With over twenty five years of experience, Janet specializes in fee-only financial life planning/coaching and investment management services. She is the Owner and President of JATAJ Wealth Management, LLC, JATAJ Life Planning, LLC, and JATAJ Wealth Advisors Network, LLC. Prior to owning her own business, Janet ran the investment management and financial planning division of the country’s 12th largest accounting firm.

In addition, Janet is the author of "Finding Financial Fulfillment, For a Life Filled with Money and Meaning", available here or at www.amazon.com.

  • Fee-only investment management
  • Financial/Retirement/Transition Planning
  • Life/Career Coaching
  • Speaking/Seminars/Workshops