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Our Fees

Services can be ordered individually at the prices listed under Our Core Services or in RIA IN A BOX Package format.

Our Core Services
 Fees
FINRA Entitlement Paperwork
ADV Part I (Online)
The New ADV Part 2A (Paper and Online)
U-4 Form and ADV 2B (Per Person)
Client Advisory Contract (includes Investment Policy Statement)
Privacy Policy Statement
Chief Compliance Officer Training
Code of Ethics
Written Policies & Procedures Manual (includes Code of Ethics)
Each additional state
Each additional representative 		$185.00
$350.00
$1,375.00
$175.00
$610.00
$95.00
$585.00
$250.00
$700.00
$500.00
$200.00
 
RIA IN A BOX PACKAGE $2,785.00

One of Everything You Need To Get Registered and Be Compliant
FREE 12 Months of Unlimited Simple Form ADV Changes
FREE 1 Hour Consultation With Post Registration Compliance Expert

FINRA Entitlement
ADV Part 1 (online)
NEW 2011 ADV Part 2A (PDF and Word Doc)
Form U4 for one representative
Form ADV Part 2B for one rep
Filing in one jurisdiction 		Investment Advisory Contract
Chief Compliance Officer Training
Privacy Policy Statements
Written Policies & Procedures Manual
Code of Ethics
 
Our Advertising Compliance Review Services Fees
Website review
Business card review
Letterhead review
Mailer review
Seminar review 		$150 per site
$25 per card
$25 per page
$150 per mailer
Call for quote
 
2011-2012 ANNUAL RENEWAL Package $450.00
Ensure your renewal fees are paid on time
Compile any state specific paperwork
Discount for existing clients (at time of renewal)
$30 each add’l state 		 
 
State/SEC fees, FINRA fees, and exam fees are not included in the prices above and will go directly to the agencies.
 
STATE/FEDERAL FEES Fees
State/SEC RIA Registration Fees
Series 65 Exam 		Call for fees
$135.00
 
RIA IN A BOX accepts VISA, Mastercard, Discover, and American Express