We provide monthly RIA compliance services to over 1,600 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 MyRIACompliance^TM online RIA compliance software platform which allows firms to more efficiently and proactively manage compliance.

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

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