Private Fund Adviser Compliance Software and Services

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Private fund advisers gain access to a customized version of our industry-leading MyRIACompliance® online RIA compliance software platform which includes access to our proprietary Private Fund Platform. This platform provides a centralized location for all private fund information, Form ADV, Form PF, Form D, and Blue Sky filings. Our optional enhanced service package offers unlimited, hands-on time with our expert private fund compliance consultants to help answer questions, develop customized policies and procedures, and to review marketing and regulatory filing documents.

MyRIACompliance® Private Fund Adviser Compliance Packages

Choose the best package for your firm.

Comprehensive SEC-Registered State-Registered Exempt Reporting Adviser


Monthly Price1
$ Customized
 $ 0
$ 800
 $ 7
$ 600
 $ 29
$ 300
 $ 79
MyRIACompliance® Software Features
Compliance Calendar, Webinars, Checklists, Status Monitor
Compliance Log
Employee Supervision
Access to the MyRIACompliance Mobile App
Audit Prep Tool
Annual Review Tool
Cybersecurity Platform
Optional Add-on for All Software Packages
$150/mo
$150/mo
$150/mo
Automated Employee Trade Monitoring
Optional Add-on for All Software Packages
$100/mo
$100/mo
$100/mo
Private Fund Platform Features
Fund Inventory
Risk Assessment Tool
Form ADV Updates
Form PF
Customized
2
Form D
Customized
2
2
2
Blue Sky Filings
Customized
2
2
2
Enhanced Compliance Consulting
Optional Add-on for All Software Packages
$600/mo
$400/mo
$300/mo
 
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MyRIACompliance Private Fund Compliance Consulting Service Packages

All compliance software packages include our standard level of service for no additional charge. You can choose to add the enhanced compliance consulting service.

Standard Service

Included for ERA Firms

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
  • Form PF, Form D, and Blue Sky Filings

Enhanced Service

$300/mo for ERA Firms

$400/mo for State-Registered Firms
$600/mo for SEC-Registered Firms
  • Unlimited and Proactive Compliance Consulting
  • Creation and Review of Policies and Procedures Manual
  • Review of Filing Documents and Marketing Materials

 


RIA in a Box Gordian Comprehensive Compliance Consulting

As part of the Gordian Comprehensive Solution, our experienced team of compliance consultants with decades of experience will develop and implement a specialized compliance program that is designed to support the complex regulatory needs of:

  • -- Retail investment advisers
  • -- Hedge funds
  • -- Private equity funds
  • -- Exempt reporting advisers
  •  

Our individually tailored solutions can include regular on-site visits and assistance with conducting the annual compliance program review and risk assessment.

Learn More About Our Gordian Comprehensive Compliance Solution

Private Fund Platform Video

Optional Compliance Tools

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
  •  

Pricing: Starts at $150 per month

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


Pricing: Starts at $100 per month

Learn More About Automated Employee Trade Monitoring

1. All subscriptions require an annual contract billed on a monthly basis and a one-time set-up fee equal to the monthly subscription fee. 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. Each additional user license is $10 for exempt reporting adviser (ERA) firms, $15 for state-registered firms, and $20 for SEC-registered firms.
2.All subscriptions include assistance with up to 3 private funds managed by the adviser. For firms managing more than 3 private funds, there is an additional $100 charge per month per fund.

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