We provide monthly ongoing RIA compliance support to over 1,700 firms.  Our software packages provide access to the industry-leading MyRIACompliance® online RIA compliance software platform. All software packages include our standard service package which includes assistance with the annual Form ADV amendment and unlimited Form ADV amendments throughout the year. Our optional enhanced service package offers unlimited, hands-on time with our expert RIA compliance consultants to help answer questions and to review marketing and regulatory filing documents. Firms can also choose to bundle our proprietary cybersecurity and employee trade monitoring platforms.

RIA Compliance Software Packages

Choose the best package for your state or SEC-registered firm

Comprehensive Premium Advanced Standard
Monthly Price1
$Call
$Call
$500
$800
$400
$675
$250
$500
Software Features
Compliance Calendar, Webinars, Checklists, Status Monitor
Compliance Log
Employee Supervision
Registration Tracker
Compliance Document Templates
Audit Prep Tool
Risk Assessment Tool
Annual Review Tool
Cybersecurity Platform
Optional Add-on for All Software Packages
$150/mo $175/mo $200/mo
Automated Employee Trade Monitoring
Optional Add-on for All Software Packages
$100/mo $150/mo $200/mo.
 
Schedule a Demo Now

Service Packages

All software packages include our standard level of service. You can choose to add enhanced compliance consulting support.

Standard Service
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




Enhanced Service
$300/mo for State-Registered Firms
$450/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
  • Firm and Individual Registration Support2




Additional Services Available

We can assist our clients with these additional regulatory filings: 

  • Form 13F: For firms that exercise investment discretion with respect to $100 million or more in 13(f) securities.
  • Form PF: For private equity and hedge fund advisers managing at least $150 million in private fund assets under management. 

We also provide on-site and virtual mock audit services:

  • On-Site Mock Audit: Conducted by a former regulator and includes on-site review of Form ADVs, books and records, polices and procedures, and advertising materials.
  • Virtual Mock Audit: Conducted by a former regulator and includes a virtual review of files including Form ADVs, books and records, policies and procedures, and advertising materials.
We can also customize a service package for firms looking for regular on-site visits or other specific services.

Optional Compliance Tools

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Cybersecurity

The MyRIACompliance® 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

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Training and Onboarding

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® compliance tools
  • Assist with customization of compliance settings and notifications
  • Host a training session to assist with staff onboarding to MyRIACompliance®
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Software Integrations

Our compliance software platform integrates with these leading solutions:

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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 for state-registered firms is $15 per user and each additional user license for SEC-registered firms is $20 per user.
 
2. Includes assistance to help prepare and file paperwork required for up to three (3) new individual investment adviser representatives to be registered per 12 months and to help prepare and file the firm's application for registration or notice filing in up to three (3) additional jurisdictions per 12 months.

Come join over 1,700 RIA firms that rely on our expertise and proprietary RIA compliance software