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We provide monthly RIA compliance services to over 1,500 firms. Our team of former regulators has SEC and state-level investment adviser regulatory expertise and can answer compliance questions, review marketing documents, provide Chief Compliance Officer training, or help prepare for an audit. For all service levels, we assist with all Form ADV amendments. We also offer unlimited, hands-on compliance consulting time and assist with individual adviser registrations beginning with our professional service level. In addition, all firms gain access to our industry-leading MyRIAComplianceTM online RIA compliance software platform which allows firms to more efficiently and proactively manage compliance.

Basic

$ 225 monthly for State Registered Firms1
+ $12 Per User2
$ 400 monthly for SEC Registered Firms1
+ $15 Per User2

  • Access to MyRIACompliance
    Online Software
  • Customized Online Compliance Calendar
  • Customized Online Compliance Checklists
  • Online Compliance Log
  • Quarterly Registration Status Monitor
  • Online Registration Tracking Tool
  • Access to MyRIACompliance Integrations
  • Initial Compliance Expert Review Call
  • Monthly Compliance Expert Webinars
  • Online Attestation and Employee Supervision Tools
  • Assistance with Annual Registration Renewal
  • Unlimited Form ADV Amendment Filings
  • Service Bureau Administrator for IARD Account

Enterprise

$ 2,000 monthly for State Registered Firms1
+ $12 Per User2
$ 2,300 monthly for SEC Registered Firms1
+$15 per user2

  • All Professional Features +
  • Dedicated Compliance Expert
  • Scheduled Compliance Calls
  • Chief Compliance Officer Training Program
  • 2 Annual On-site Visits including Mock Audit
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Training and Onboarding

We charge a one-time fee equal to the monthly subscription fee that includes a detailed MyRIACompliance software training session with our onboarding and training expert. This fee also includes additional staff training and assistance with connecting to our technology integration partners.

How our training expert will help you and your staff:

  • Provide Chief Compliance Officer training on all available MyRIAComplianceTM  compliance tools
  • Assist with customization of compliance settings and notifications
  • Host a training session to assist with staff onboarding to MyRIAComplianceTM
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Optional Compliance Tools

Automated Employee Trade Monitoring

With the ability to establish an electronic data feed to over 15,000 financial institutions, the employee trade monitoring feature automates the submission and tracking of personal securities holdings and transactions for RIA firms of all sizes. The Chief Compliance Officer gains access to detailed reporting tools and the ability to manage a restricted securities list.

Key Features:

  • Automatically record and monitor employee personal securities transactions
  • Eliminate the need to review and archive paper brokerage statements
  • Consolidate employees' personal securities transactions into a single reporting system

Pricing: $10 per user / month

Learn More About Automated Employee Trade Monitoring

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Software Integrations

Our compliance software platform integrates with these leading solutions:

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Additional Support Services

On-Site Mock Audit
$5,600 for Non-MyRIACompliance Clients
$4,300 for MyRIACompliance Clients

Conducted by Former Regulator
Review Form ADVs, Agreements, Books and Records, and Advertising
Chief Compliance Officer (CCO) Training
Answer Compliance Questions
Entrance/Exit Interview
We Pay All Travel Expenses
 

Virtual Mock Audit and Review Services
$4,000 for Non-MyRIACompliance Clients
$2,600 for MyRIACompliance Clients

Conducted by Former Regulator
Electronic Sampling of Client Files (If Applicable)
Chief Compliance Officer (CCO) Training
Answer Compliance Questions
Review Form ADVs, Policies and Procedures, Advertising, and Sample Agreements

1. Each RIA firm subscription includes one MyRIAComplianceTM requires a one-time set-up fee equal to the monthly subscription fee. 
2. Each RIA firm subscription includes one MyRIAComplianceTM user license. Firms with only one employee are not required to purchase additional user licenses. For firms with more than one employee, the firm is required to purchase a user license for each additional firm employee to help the firm meet its compliance supervision requirements.
3. Prepare and file paperwork required for up to three (3) new individual investment adviser representatives to be registered per 12 months. 
4. Prepare and file the firm's application for registration or notice filing in up to three (3) additional jurisdictions per 12 months.
All service levels require an annual contract billed on a monthly basis. 

Come join over 1,500 RIA firms that rely on our expertise and proprietary software