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.
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.
Our compliance software platform integrates with these leading solutions: