Sarah Razaq Sallis will present, “The Next Chapter: Successfully Establishing Your RIA,” at a Confluence webinar on Wednesday, July 15, 2026.
This webinar will address key considerations and steps involved in launching an SEC-registered investment adviser and what to expect in the first year.
Topics include:
- When and why to register as an RIA - triggering events and key decision points
- The registration process - filing Form ADV and meeting regulatory requirements
- Legal foundation - entity formation, advisory agreements, and fund documentation (if applicable)
- Building your compliance program - drafting and adopting policies and procedures (P&P) and designating a Chief Compliance Officer (CCO)
- Operational readiness - outsourcing considerations and vendor due diligence
- Testing your compliance program – the annual 206(4)-7 compliance review requirement
- SEC examinations – what to expect in the SEC’s new registrant exam
For more information, visit the webinar website.