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I have begun the process of setting up a sole proprietor RIA firm in California. I have sent in the entitlement form for IARD access and have created my ADV 2a and 2b brochure. For those of you who have gone through the process or seen it second hand:
-What services are a must? (FYI, I am looking for a compliance firm to help with the registration docs.)
-Which part was the hardest - What do you wish you did differently?
-I plan on hiring advisors and junior advisors (as well as staff) once I get used to the bath water..what should I do now?
-Anything else you think I should know?
Thank you!! Thank you!! and again Thank you!!
11 years old · 239k karma
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- 10 years ago
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