RIA Compliance Software and Services

We provide monthly ongoing RIA compliance support to over 2,000 registered investment adviser ("RIA") firms. Our RIA compliance software packages provide access to the industry-leading MyRIACompliance^® online RIA compliance software platform. All compliance software packages include our standard service package which includes access to our MyRIACompliance mobile app, 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. We can also individually tailor more comprehensive consulting services to fit a firm's unique needs. Firms can also choose to bundle our proprietary RIA cybersecurity and employee trade monitoring platforms.

	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
Access to the MyRIACompliance Mobile App
Compliance Document Templates
Audit Prep Tool
Risk Assessment Tool
Annual Review Tool
Single Sign On
Compliance Consulting *Exclusively available on Comprehensive*
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.

Additional Services Available

We can assist our clients with these additional RIA 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 for RIA Firms:

On-Site Mock Audit: Conducted by a former regulator and includes on-site review of Form ADVs, books and records, policies 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.

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

Private Fund Adviser Platform

The new private fund platform provides tools to manage and automate compliance processes and streamline regulatory filings, all in a centralized location saving private fund advisers time and money and providing them reassurance they are meeting all compliance requirements. Private fund managers that utilize the new MyRIACompliance Private Fund Platform will gain access to a full range of tools to help them meet their compliance requirements. Platform Capabilities include:

Key Features:

Form PF Filings
Blue Sky and Form D Filings
Risk Assessment Tool
Private Fund Inventory
Tailored Private Fund Adviser Compliance Policies and Procedures

View Pricing Here

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^®

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.

RIA Compliance Software and Consulting Services

RIA Compliance Software Packages

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

RIA Compliance Consulting and Service Packages

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

Additional Services Available

Optional Compliance Tools

RIA Cybersecurity

Automated Employee Trade Monitoring

Private Fund Adviser Platform

Training and Onboarding

Software Integrations

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

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