On-Site Compliance Review (Mock Audit)
RIA IN A BOX now offers on-site compliance reviews (mock audits). While these compliance reviews are absolutely not required for registered investment advisers, we've found that some of our clients prefer having one of our compliance experts in person at their office (home or traditional brick and mortar). We will review your files, folders, books, records, advertising, promotional materials, policies, and procedures.
Our experienced auditors are available to answer your questions and conduct an audit that will prepare you for the actual state or SEC audit. Most reviews take 3-5 hours and we will schedule the audit at a time that is convenient for you.
The Chief Compliance Officer Training Document provided in our RIA IN A BOX PACKAGE covers everything you need to run your own compliance, but if you'd prefer having one of our experts come out to see your compliance in action, this service is for you.
What do our compliance review clients have to say?
"Just wanted to let you know how valuable the meeting with your Director of Compliance was to me and my business. No one should have any doubt about the value and professionalism RIA in a Box brings to the table. Having this "audit" allows me to make the improvements neccessary to pass any future compliance audit without serious deficiencies which could result in significiant fines or the loss of my ability to conduct business. Your Director is as professional as can be, he pulls no punches; he is an asset to your business and mine. It was a pleasure meeting him. Every RIA that is serious about their business should meet your Director and have RIA in a Box on their side."
-G. Koutsakis, Owner of Strategic Retirement Planning, LLC (Florida)
"Just wanted to let you know Steve and I were very impressed with your Director of Compliance. We feel he has us more aware of our deficiencies and what we need to do going forward. No doubt a homerun adding him to your team. Thanks again!"
-R. Lowery, Owner of AmeriTrust Investment Advisors, LLC (South Carolina)
"The mock audit service was phenomenal – instructive, enlightening and pragmatic. It was also worth at least twice what it cost. I highly recommend it to all advisers."
-C. Smith, Owner of Islamorada Investment Management, LLP (Florida)
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| ON-SITE COMPLIANCE REVIEW |
FLAT $2,045.00 |
- Our Auditor, Your Office
- Review ADVs
- Review Agreements
- Review Policies Manual
- Review Files and Folders
- Review Books and Records
- Review Advertising
- Answer Compliance Questions
- We Pay All Travel Expenses
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