The Next Chapter: Successfully Establishing Your RIA
Join us for a practical, end-to-end discussion around launching your own firm.
Ready to take the next step in your advisory business? Whether you’re newly registered, considering the move to independence, expanding business practices, or otherwise approaching SEC registration thresholds, this webinar will address key considerations and steps involved in launching an SEC- registered investment adviser and what to expect in the first year.
Date: July 15th, 2026
Time: 12 PM ET - 1 PM ET
This webinar will cover:
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When and why to register as an RIA - triggering events and key decision points
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The registration process - filing Form ADV and meeting regulatory requirements
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Legal foundation - Entity formation, advisory agreements, and fund documentation (if applicable)
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Building your compliance program - drafting and adopting policies and procedures (P&P) and designating a Chief Compliance Officer (CCO)
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Operational readiness - Outsourcing considerations and vendor due diligence
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Testing your compliance program – The annual 206(4)-7 compliance review requirement
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SEC examinations – What to expect in the SEC’s new registrant exam
Who should attend:
- Exempt Reporting Advisers (ERAs)
- Larger state-registered advisers approaching SEC thresholds ($85M+ AUM)
- Successful advisory representatives exploring independence
- RIAs recently registered with the SEC (0-12 months)
Your speakers
| Moderator | Panelist | Panelist |
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| Victoria DeLucia, CRCP® Director of Institutional Engagement Confluence |
Erick Aguayo Team Lead, Senior Consultant Confluence |
Sarah Razaq Sallis |