Private Fund Adviser Compliance Software and Services



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
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
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
Private Fund Platform Features
Fund Inventory
Private Fund Tailored Risk Assessment Tool
Form ADV Updates
Form PF
Form D
Blue Sky Filings
Enhanced Compliance Consulting
Optional Enhancement for
All Software Packages
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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
Additional Fee for ERA Firms
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

Comprehensive Consulting

Our experienced team of compliance consultants 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.


MyRIACompliance® Platform Enhancements

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 a more 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

1. .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 charge per month per fund.

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