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17 Steps to Start an Investment Adviser Decide Type of Adviser Going It Alone or Joining an Established Firm Formulate Business Plan Choose A Name Set Up Entity or Sole Proprietorship Select Form of Legal Entity Choose Location of Firm Draft and File Formation Document Obtain EIN Draft Corporate Governance Document Register Entity with the SEC or State(s) Register Personnel with State(s) Obtain Other Licenses and Registrations Retain Service Providers Set Up Back Office Formulate Marketing Plan Commence Ongoing Compliance