Ria

: As a fiduciary, you must appoint a Chief Compliance Officer (often yourself in a solo firm) and maintain a written compliance manual and code of ethics. 4. Transitioning and Launching

: Generally for firms managing under $100 million in client assets. : As a fiduciary, you must appoint a

: You must file this multi-part document via the IARD system . Part 1 provides structured data about your firm, while Part 2 (the "Brochure") describes your services and fees in plain English. 3. Operational Infrastructure : You must file this multi-part document via the IARD system

: Most advisors organize as a Limited Liability Company (LLC) to separate personal assets from business liabilities. Registration Pathways : Operational Infrastructure : Most advisors organize as a

: Establish a digital presence, including a professional website and LinkedIn profile, that clearly states your fee structure and service model. Alternative Meanings of "RIA" Revue d'Intelligence Artificielle - IIETA