RIA Compliance Software and Consulting Services



We provide monthly ongoing RIA compliance support to over 2,000 registered investment adviser (RIA) firms. Our RIA compliance software packages provide access to the industry-leading MyRIACompliance® online RIA compliance software platform. All compliance software packages include our standard service package which includes access to our MyRIACompliance® mobile app, the annual Form ADV amendment and unlimited Form ADV amendments throughout the year. Our optional enhanced service package offers unlimited, hands-on time with our expert RIA compliance consultants to help answer questions and to review marketing and regulatory filing documents. We can also individually tailor more comprehensive consulting services to fit a firm's unique needs. Firms can also choose to bundle our proprietary RIA cybersecurity and employee trade monitoring platforms.


RIA Compliance Software Packages

Choose the best package for your state or SEC-registered RIA firm

Comprehensive Premium Advanced Standard
Software Features
Compliance Calendar, Webinars, Checklists, Status Monitor
Compliance Log
Employee Supervision
Registration Tracker
Access to the MyRIACompliance Mobile App
Compliance Document Templates
Audit Prep Tool
Risk Assessment Tool
Annual Review Tool
Vendor Due Diligence
Marketing Review Tool
Single Sign On
Compliance Consulting
See below
See below
See below
Continuing Education Program
Archiving Solution
Optional Enhancement for All Software Packages
Cybersecurity Solution
Optional Enhancement for All Software Packages
Automated Employee Trade Monitoring
Optional Enhancement for All Software Packages
Schedule a Demo Now

RIA Compliance Consulting and Service Packages

All compliance software packages include our standard level of service. You can choose to add enhanced compliance consulting support.

Enhanced Service
Additional Fee for State-Registered Firms
Additional Fee for SEC-Registered Firms
  • Unlimited Compliance Consulting
  • Creation and Review of Policies and Procedures Manual
  • Review of Filing Documents and Marketing Materials
  • Firm and Individual Registrations Support2
Standard Service
Included for State-Registered Firms
Included for SEC-Registered Firms
  • Initial Compliance Expert Review Call  
  • Service Bureau Administrator for IARD Account
  • Assistance with Annual Form ADV Renewal
  • Unlimited Form ADV Amendments

Additional Services Available

We can assist our clients with these additional RIA regulatory filings:

    • Form 13F: For firms that exercise investment discretion with respect to $100 million or more in 13(f) securities.

    • Form PF: For private equity and hedge fund advisers managing at least $150 million in private fund assets under management.

We also provide virtual mock audit services for RIA Firms:

    • Virtual Mock Audit: Conducted by a former regulator and includes a virtual review of files including Form ADVs, books and records, policies and procedures, and advertising materials.


MyRIACompliance® Platform Enhancements


The Department of Labor's (DOL) PTE 2020-02, "Improving Investment Advice for Workers & Retirees," exemption set new requirements for advisers that provide recommendations to retirement plan participants to roll their account from a plan to an individuals retirement account (IRA) or plan. The RolloverAnalyzer provides advisers with an intuitive digital solution to assess, document, and disclose rollover recommendations and meet compliance requirements in a single process. 

Key Features:

  • Analyze Your Rollover Recommendation - Eliminate manual processes by digitally comparing rollover recommendations against cost, service, and fit criteria.
  • Fully Integrated Plan Cost Data - Simplify rollover plan fee assessments by inputting the client's 404(a)5, into integrated Form 5500 and plan expense look-up tool.
  • Document and Disclose the Recommendation - Eliminate multiple systems by easily transitioning from the best interest rollover recommendation to disclosure and recordkeeping. 

Schedule a Demo of the RolloverAnalyzer

RIA Communications Archiving and Review

The new RIA Communications Archiving and Review solution enables registered investment advisors (RIA) to seamlessly fulfill their archiving duties and meet regulatory requirements. Our solution was built specifically for RIA’s to optimize the review process and gain a proactive approach to compliance concerns.

Key Features:

  • Capture, store and organize email, webpages and social media accounts
  • Easily retrieve and review archived data
  • Email review with auto-flagging keywords
  • Simplify supervisory review process
  • MyRIACompliance® users can seamlessly review and integrate archiving activities into their compliance calendar and compliance log

Learn More About Our Archiving and Review Solution

RIA Cybersecurity

The MyRIACompliance® RIA cybersecurity platform empowers an RIA firm to design and implement the firm's cybersecurity program. The platform is designed exclusively for RIA firms who face unique cybersecurity risks and regulatory requirements.

Key Features:

  • Security Awareness Training and Testing
  • Email Phishing Attack Simulation
  • Automated Vendor Due Diligence
  • Technology Inventory and Risk Assessment
  • Customized Information Security Policy

Learn More About Our Cybersecurity Platform

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

Learn More About Automated Employee Trade Monitoring

ITEGRIA® Virtual Desktop And Dashboard

The ĪTEGRIA® Virtual Desktop Infrastructure (VDI) paired with the new MyRIACompliance® Dashboard provides an advanced technology solution for RIA firms to protect against cyberattacks and boost productivity, all while maintaining strict regulatory compliance standards.

Key Features:

  • A Secure and Powerful Technology Environment - A faster, more secure environment focused on mobility and flexibility. Access from anywhere in the world on any laptop or desktop with a MacOS or Windows operating system.
  • Detailed Compliance Reporting - Access digitized compliance reporting, creating amore defined and documented regulatory trail for potential auditors.
  • MyRIACompliance Dashboard - An automated dashboard for virtual desktop reports, support documents, and other related content.
  • IT Support and Educational Resources - Exclusive access to valuable research and resources from leading Cybersecurity and information technology experts.

Learn More About Our Virtual Desktop and Dashboard

Private Fund Adviser Platform

The new private fund platform provides tools to manage and automate compliance processes and streamline regulatory filings, all in a centralized location saving private fund advisers time and money and providing them reassurance they are meeting all compliance requirements. Private fund managers that utilize the new MyRIACompliance® Private Fund Platform will gain access to a full range of tools to help them meet their compliance requirements.

Key Features:

  • Form PF Filings
  • Blue Sky and Form D Filings
  • Risk Assessment Tool
  • Private Fund Inventory
  • Tailored Private Fund Adviser Compliance Policies and Procedures

Learn More About The Private Fund Platform


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 MyRIACompliance® compliance tools
  • Assist with customization of compliance settings and notifications
  • Host a training session to assist with staff onboarding to MyRIACompliance®

Onboarding Team



Software Integrations

Our compliance software platform integrates with these leading solutions:

Black Diamond Logo MRC Pricing Page Integration CircleBlack - RIAB Integration Page Logo-15 Docupace Logo MRC Pricing Page Integration Morningstar Logo MRC Pricing Page Integration Orion Logo MRC Pricing Page Integration Redtail CRM Logo MRC Pricing Page Integration Riskalyze Logo MRC Pricing Page Integration Salesforce Logo MRC Pricing Page Integration SEI Logo MRC Pricing Page Integrations Wealthbox Logo MRC Pricing Page Integration
Learn More About Our Open API Framework
1. Each RIA firm subscription includes one MyRIACompliance® user license. 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.
2. Includes assistance to help prepare and file paperwork required for up to three (3) new individual investment adviser representatives to be registered per 12 months and to help prepare and file the firm's application for registration or notice filing in up to three (3) additional jurisdictions per 12 months.

Come join over 2,000 RIA firms that rely on our expertise and proprietary RIA compliance software