RIA Registration

(212) 751-4422

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We help new Investment Advisers register with confidence.

Our team members have been successfully securing new investment adviser registrations for over 20 years.

DFP Partners can manage your registration process from beginning to end. We will register your firm and build your compliance program; managing every step to bring you to a successful outcome.

Comprehensive Solutions

We provide full-service compliance consulting to firms seeking SEC or state registration services. We partner with you to develop and file Form ADV Parts 1, 2 and 3 (if applicable). We will build your customized compliance program, which includes the compliance manual, code of ethics, templates, and processes.

Deep Expertise

Our consultants have decades of experience guiding both regulated and unregulated investment advisers of various sizes and business models through the registration process.

Engaged Support

We collaborate with your firm to ensure the completeness and accuracy of the registration documents we are submitting. Throughout this process, we educate your team to develop a firm understanding of your regulatory obligations and the procedures needed to fulfill them.

After your approval, we also offer continuous support of your compliance program, including procedures updates, advertising review, regulatory exam support, and conducting your annual review. To learn about the full scope of our services, including Investment Adviser Registration, complete our contact form below.