Ria Direct

Before filing any legal paperwork, you must define the core identity of your practice.

: Required for firms with over $100 million in AUM. Before filing any legal paperwork, you must define

: Confirm you meet licensing requirements. While the Series 65 is standard, professional designations like the CFP or CFA may offer exemptions depending on state regulations. 2. Legal and Regulatory Setup This phase transforms your idea into a regulated entity. Before filing any legal paperwork

: Prepare account transfer paperwork and over-communicate with clients to explain how their assets will be protected at the new custodian. Before filing any legal paperwork, you must define