We provide monthly RIA compliance services to over 1,700 firms. Our team of investment adviser compliance professionals are former regulators and have SEC and state-level regulatory expertise and can answer investment adviser compliance questions, review marketing documents, provide Chief Compliance Officer training, or help prepare for a regulatory audit. For all service levels, we assist with all Form ADV amendments. We also offer unlimited, hands-on time with RIA compliance consultants 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.
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:
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: