A Registered Investment Adviser (“RIA”) is registered with the Securities and Exchange Commission (“SEC”) or a state’s securities agency.
 

RIA Registration and Compliance: Led by Investment Management Attorneys

 

Experienced Approach

Guardian offers an experienced approach to RIA registration and compliance. A benefit of experience is gaining an understanding of what works. Our firsthand experience with the SEC translates into careful and efficient RIA registration and the design of impeccable on-going RIA compliance programs. 

Certainty

Guardian offers an experienced approach to RIA registration and compliance. A benefit of experience is gaining an understanding of what works. Our firsthand experience with the SEC translates into careful and efficient RIA registration and the design of impeccable on-going RIA compliance programs. 

Simplified Process

Guardian offers an experienced approach to RIA registration and compliance. A benefit of experience is gaining an understanding of what works. Our firsthand experience with the SEC translates into careful and efficient RIA registration and the design of impeccable on-going RIA compliance programs. 

Your Success

At Guardian, we operate with a simple guiding principle: Your success is our success. Our job is to keep a watchful eye over your registration and ongoing compliance. With Guardian there is no need to hire separate registration and compliance services companies.

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    “A very popular RIA registration provider almost charged us for services we didn’t need. The attorney we worked with at Guardian saved us money and gave us peace of mind.”

    Josh Cochran, CFA at Cochran Wealth