Registration & Launch
RIA, ERA and fund registration in one place
Start a new advisory firm, move between state and SEC registration, or set up an exempt reporting adviser. We prepare filings and policies for your review; your firm approves every submission.
Register an advisory firm
SEC or state registration, Form ADV and the core compliance documents a new RIA needs.
RIA registration pricing
RIA setup, registration switches and launch bundles with current starting prices.
ExploreSEC vs. state calculator
Check SEC or state registration by AUM and common exemptions.
ExploreState RIA registration guides
State-by-state requirements, notice filings and renewal timing.
ExploreNew firm registration checklist
Free checklist of documents and decisions before you file.
ExploreExempt reporting advisers and private funds
For private fund advisers below the $150M private-fund AUM threshold and managers adding a fund.
RIA vs. ERA guide
When an adviser registers and when it may report as an ERA.
ExplorePrivate fund ERA setup checklist
Free setup checklist for ERA filings and fund-level reporting.
ExploreRIA + Fund Launch package
Register an RIA and launch an alternative fund together.
ExploreForm D filing requirements
Form D timing, amendments and state notice filings.
ExplorePlan your first year
Budget for fees and deadlines before registration becomes effective.
State filing fees
Current state registration and notice-filing fee references.
ExploreRIA startup checklist
Operational setup after registration: policies, books and records, vendors.
Explore2026 compliance deadlines
Annual amendment, renewal and reporting dates.
ExploreFIN Compliance consulting
Ongoing consulting tiers once your registration is effective.
ExploreWhat stays with you
Regulators decide whether and when a registration becomes effective; timelines are targets, not guarantees. Government and state filing fees pass through at cost. Legal, tax and fund-document drafting are handled by your counsel and advisers.
View registration pricingFrequently asked questions
Does FIN Group register my firm with the SEC or a state?
We prepare registration materials, including Form ADV and Form CRS where required, and coordinate filing through IARD/CRD. Your firm reviews and approves each filing, and the SEC or state regulator decides whether the registration becomes effective.
Should my firm register as an RIA or report as an exempt reporting adviser?
An exempt reporting adviser (ERA) generally advises only private funds and relies on an exemption, such as the private fund adviser exemption for advisers with less than $150 million in private-fund assets under management in the United States. ERAs still file parts of Form ADV and may have state obligations. We help identify the likely path; your counsel confirms legal conclusions.
How long does registration take?
Timing depends on how complete your materials are and on regulator review. We give you a target timeline after scoping, but no registration date can be guaranteed.
Are state and regulatory filing fees included?
No. Government, state and IARD filing fees pass through at cost and are billed separately from FIN Group's fees.
Can you also help after we are registered?
Yes. Most new firms continue with a FIN Compliance consulting tier for filings, policy updates and ongoing compliance support. Filing allowances are capped by tier.
Not sure where to start?
Tell us your firm type, registration status and timing. We will point you to the right service and confirm scope before quoting.