RIA Review

Tier 1

Starting at $3595/annually & up

(quarterly/monthly plans)

Mock Audit

Review of firm books and records

Quarterly/Ongoing Reviews

Periodic Reviews of firm books/records

Full RIA Registration

Registration for new RIA's

Includes RIA Compliance Management software

w/Premium Plus - included

Tier 2

Starting at $2395/annually & up

(annual plans)

Reviews

Annual/Bi-annual review of compliance procedures;

Filings

Multiple updates

Action Plan

Overview of Policies and Procedures/Duties

Partial Registration

SEC to State registration State to SEC registration

Includes RIA Compliance Management software

w/Premium – ($inquire)
w/Premium Plus ($inquire)

Tier 3

Starting at $1395/annually & up

(annual plans)

Filings

Annual/One-Time (updates)

Action Plan

Overview of Policies and Procedures/Duties

Includes RIA Compliance Management software

w/Premium – ($inquire)
w/Premium Plus ($inquire)

Enterprise

Starting at $7500/annually & up

(inquire)

FinTechs

Regulatory Mapping
Jurisdictional Framework/research
Compliance Portals

Financial Networks*

Compliance*
Operations*

*Joint projects with partners

Register

Create a new account.

Free

Premium

Premium Plus

Tier 1

Tier 2

Tier 3

Enterprise

Investment Advisor Features

Broker Dealer Features

Basic

Pro