your RIA Solution!
At RIA Systems, we're more than just a support firm—we're your strategic partner. Whether you're launching a new RIA or optimizing an existing one, we provide comprehensive back-office services to investment advisory firms nationwide. Our dedicated team ensures accuracy, efficiency, and a tested compliance program, so you can focus on what matters most: your clients and investments.
Why Your Own RIA?
Financial advisors typically have three paths to serve clients: working as an employee, joining an existing firm, or launching their own RIA. We're observing a significant trend of advisors transitioning from employee-based and existing RIA models to establish their independent RIAs. This move rarely reverses, and we believe it's because owning an RIA offers unparalleled autonomy, higher profitability, operational control, and the freedom to implement common-sense practices.
Why RIA Systems?
Whether you have an established RIA or want to create one, having a trusted partner streamlining and handlings the back-office will allow you to keep your focus on your work and your clients. Our unmatched expertise and proven partnerships provide a solid foundation for your RIA. With over 40 years of collective experience and earned expertise, we have back office and compliance support figured out. We know what is essential, what can be simplified and how to set you and your firm up for advancement. We also have over a decade of serving clients and a stellar track record navigating audits.
Join our existing clients utilizing RIA Systems for the following benefits:
• Lean into experience and skip steep learning curves on back office and compliance practices.
• Avoid staffing challenges, from hiring the right people to maintaining continuity of critical work.
• Lower costs and stress by leveraging set-up and operational expertise. Sourcing technology solutions through a partner reduces costs and lightens your load.
• Piece of mind stemming from having a trusted partner that has state and SEC audit experience with an efficient and effective compliance program.
What do you need?
For New RIAs:
• We begin by providing step-by-step setup, firm consultation, and comprehensive transition support. From there, we establish and manage efficient, effective back-office processes and systems on your behalf (see Services). As your efficiency-focused partner, we continually streamline and improve your operations, ensuring your RIA always runs at its peak.
For Existing RIAs:
• Our process begins with a thorough review of your firm's existing documents and practices, designed to establish smooth and efficient operations. Next, we'll focus on creating more streamlined documentation and optimizing your practices, ensuring you remain fully focused on your clients and on growing assets under management. From this foundation, we then provide our comprehensive back-office and compliance services to ensure your firm consistently operates at peak efficiency.
Listen TO what our clients have to say:
Steadfast and Competent
"RIA Systems have been steadfast, competent, and pleasant partners through some great, and also some very stressful times. Despite having 20+ years' experience as an IAR, the transition to independence and all of the compliance knowledge necessary to do it right was daunting. Finding RIA Systems and getting to know Rod made it all seem more manageable and doable. Beginning with our transition to independence, and continuing with the compliance and back office support they have provided in our day-to-day practice; RIA System's experience and guidance have continued to be an appreciated resource throughout our first 15 months as an independent RIA. Now, having just gone through our "New Entrant" SEC interview I can't emphasize enough how grateful we are for the support and guidance RIA Systems has provided."
- Bo Pihl, Orographic Financial (Client since 2022)
Best Decision We've Made
"Partnering with RIA Systems was one of the best decisions we made during our transition to the independent space. As a start-up RIA, we wanted the compliance expertise and industry know-how in order to navigate the complexities on our own. RIA Systems is a well-established, efficient and connected partner that provides us with the structure we need to run our business. Rod and his team are dependable, easy to work with and lead with a solution-oriented approach. They work seamlessly with our other providers and the benefits they continue to bring to the table far exceed our expectations. If you're considering going independent, RIA Systems is a partner you want on your team."
-Caitlin Borland & Paula Gunter, Co-Founders and Managing Partners / Aria Wealth Partners, LLC - clients since 2024
All-In-One Support
"RIA systems provides me with an integrated, all-in-one back office support and compliance solution for my private practice, just what I was looking for! RIA systems allow me to focus on my business and helping my clients, while they take care of the complexities of regulation and compliance."
- Ryan Skinner, President/Elite Financial Inc., Client Since 2017
Streamlined Processes
"RIA Systems has streamlined our back office and compliance processes so we can focus our attention on helping our clients achieve their goals and grow our firm."
- Matt Tanaka, Chief Compliance Officer and Managing Member/Mosaic Pacific Investment Advisors, LLC, Client Since 2013
Knowledgeable, Efficient, Ethical
"After spending numerous hours, days, weeks and months researching the best possible candidates to serve as my back-office administration and compliance team, I was so fortunate to have been introduced to RIA Systems. They are incredibly knowledgeable, super-efficient, caring, motivated for my success, creative, ethical, assessable and diligent. I consider them an outstanding partner. Additionally, their price point was more competitive than 95% of those I interviewed; I’m grateful!"
- Kent Maclachlan, Owner/MacLachlan Wealth Management, LLC client since 2018
Back Office Operations
Portfolio software admin, account setup, fee billing, trade error processing, and more
Compliance
ADV updates, regulatory filings, policies & procedures, 13F filings
Technology
Cloud-based storage, performance, and billing software, email archiving
policy Testing
Cybersecurity review, marketing reviews, trade, and social media monitoring
Ready to get started?
Let RIA Systems handle the back end, so you can focus on growth. Contact us today to schedule a consultation and discover how we can support your RIA firm.