We Offer:
Consulting
Compliance Consulting and Audit Prep
Business Referalls to Vendor Partners
Advisor Continuity Introductions/Assessments
Business Tech/Development
Software
RIA/BD Compliance and Business Management tools integrated into one-login system.
Procedures collaboration tools for principals, CCOs, staff, and consultants. Register with an online account.
Our systems can work with your existing technology vendors/stack.
We Offer:
Online Resources
Firms can access our online compliance system for ongoing reviews using our: RIA Compliance Calendar, Forms, Checklists, Compliance Cloud, Review Resources, and more.
Our Global Network includes
Registered investment advisors (RIA)
Small RIA’s ($0-50 MM in AUM)
Medium RIA’s ($50 -500 MM in AUM)
Registered/Private Fund Advisors
Hybrid (RIA/Broker-Dealer) Firms
Robo-Advisors/FinTech
Our Progress
More than 175+ SEC, State, FINRA firms served in US and Europe who represent assets of more than $4 Billion in AUM (Since 2012).
We Offer:
Collaboration Tools
Firms can access our system to manage projects, such as compliance, operations, or other client-based assignments.
Users can share projects with their team and send/receive documents from clients.
Network Connections
Advisors can connect with other firms for continuity, succession planning, partnerships, and deal flow on our Advisor Directory
Our Partners can list their business offers on our Vendor Directory to advertise with other firms.
Integrations
Approve Me - E-Signatures
Google Calendar
PayPal, CashApp (for vendor billing)
And More
