Expert Services Tailored to Your Unique Compliance Needs
RIA compliance can be confusing and difficult to understand. Let us help you navigate the complex regulatory environment to ensure that your RIA complies with applicable rules and regulations at both the state and SEC level.
Service Packages:
Foundation Package
Perfect for newer firms or those with straightforward compliance needs, this package offers essential compliance support. It includes initial manual development, annual program review, ongoing consulting support, and basic regulatory filing assistance.
Professional Package
Designed for established firms seeking robust compliance support, this package delivers thorough program maintenance and regular oversight. It includes semi-annual compliance reviews, ongoing consulting support, and regulatory filing assistance. We provide quarterly compliance updates and staff training sessions, along with basic regulatory exam preparation guidance.
Premier Package
Our premier service provides complete compliance program oversight and management. This package includes comprehensive manual development, unlimited consulting support, and complete handling of regulatory filings. We conduct annual on-site reviews (as requested), provide ongoing staff training, conduct annual compliance meetings, and offer dedicated regulatory audit preparation. Premier clients receive priority support and an annual risk assessment.