RIA Compliance Software and Services

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 MyRIACompliance^TM online RIA compliance software platform which allows firms to more efficiently and proactively manage compliance.

Basic

$ 250 monthly for State Registered Firms¹
+ $15 Per User²

$ 500 monthly for SEC Registered Firms¹
+ $20 Per User²

Access to MyRIACompliance
Online Software
Customized Online Compliance Calendar
Customized Online Compliance Checklists
Online Compliance Log
Quarterly Registration Status Monitor
Online Registration Tracking Tool
Access to MyRIACompliance Integrations
Initial Review Call with a Compliance Consultant
Monthly Compliance Expert Webinars
Online Attestation and Employee Supervision Tools
Assistance with Annual Registration Renewal
Unlimited Form ADV Amendment Filings
Service Bureau Administrator for IARD Account
Access to Vendor Due Diligence Tool
Access to Audit Prep Tool

Professional

$ 500 monthly for State Registered Firms¹
+ $15 Per User²

$ 800 Monthly for SEC Registered Firms¹
+$20 per user²

All Basic Features +
Unlimited Compliance Questions via Email
Unlimited Compliance Questions via Phone
Unlimited Review of Filing Documents
Unlimited Review of Client Marketing Materials
Registration of New Individual Representatives³
Registration of Firm in New States⁴
Creation and Review of Policies and Procedures Manual
Online Compliance Document Template Library
Online Annual Risk Assessment Tool

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