RIA Review

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Pricing/Overview

Consulting

RIA Consults: Compliance Consulting + Software
Filings | Disclosures |Customized Reviews | Audit Prep
FIN Ventures: Business/Tech Strategy
Ideation | Implementation
FIN Continuity: Continuity/Cybersecurity Planning
Continuity Plan | Assessment | Referrals

Software

RIA Review: Free Version
Compliance Calendar | SEC/State Guidelines | Resources
RIA Review: Premium/FIN Lancer Pro
All of the above + Audit Prep Checklists | Forms | Agreements | Manuals | Compliance Cloud Directory (7 GB) | Secure File Sharing/Collaboration Tools | E-Contracts | Advisor Directory
RIA Review: Premium Plus/FIN Lancer:Pro
All of the above + Procedures Review Center | Filing Disclosure Documents (10 GB) | Secure File Sharing/Collaboration Tools | E-Contracts | Advisor Directory

Review of firm books and records

Periodic Reviews of firm books/records

Registration for new RIA's

w/Premium Plus - included

Annual/Bi-annual review of compliance procedures;

Overview of Policies and Procedures/Duties

SEC to State registration State to SEC registration

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

Annual/One-Time (updates)

Overview of Policies and Procedures/Duties

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

Regulatory Mapping
Jurisdictional Framework/research
Compliance Portals

Compliance*
Operations*

*Joint projects with partners

Tentative

Inquire

RIA + Broker-Dealer Compliance Features

Client Center: setup client folder and a document vault.
Project Center: collaborate with other team members.
Document Center: File Storage

Firm Directory: Collaborate with other listed members on business continuity, succession strategies, partnerships, and/or deal flow.

Integrations and more.

Client Center: setup client folder and a document vault.
Project Center: collaborate with other team members.
Document Center: File Storage.

Firm Directory: Collaborate with other listed members on business continuity, succession strategies, partnerships, and/or deal flow.
E-Signatures: for client contracts.
Invoicing: Integration for billing vendors.

Integrations and more.

Review of firm books and records
-and/or-

Periodic Reviews of firm books/records
-includes-

Multiple updates
-and/or-

Annual/Bi-Annual review of compliance procedures
-and/or-

Overview of Policies and Procedures/Duties
-and/or-

SEC to State registration and State to SEC registration
-includes-

Annual/One-Time (updates)
-or-

Overview of Policies and Procedures/Duties
-optional-

w/Premium - (inquire)

w/Premium Plus - (inquire)

Regulatory Mapping
Jurisdictional Framework/research
Compliance Portals

Compliance*
Operations*

*Joint projects with partners

Register

Create a new account.

Consulting

Software

Free

Premium

Premium Plus

Tier 1

Tier 2

Tier 3

Enterprise

Investment Advisor Features

Broker Dealer Features

Basic

Pro

Tier 1

Quarterly, Bi-Annually or One-Time Installment

w/Premium Plus

w/FIN Lancer Pro

Tier 2

One-Time or Bi-Annual Installment

w/Premium
w/Premium Plus

w/FIN Lancer Pro

Tier 3

One-Time
Installment

w/FIN Lancer Pro

Enterprise

Based on the
scope of the project

Consulting/Affiliate Program

Commission or Per Project

Vendor/Referral Program

Monthly Subscription Fee