Compliance Consulting

We specialize in services for

Registered Investment Advisors | Financial Planners | Private Fund Advisors | Robo-Advisors | Fund Managers | FinTech Entrepreneurs

With the rate at which the financial industry is changing, advisors may find it difficult to interpret regulatory changes. We strive to offer our clients a cost-effective solution. We take a "hands-on" approach, and if necessary, will contact regulators to find out an answer for you.

Tier 1 Compliance Service

  • Mock Audit

    Review of firm books and records

  • Quarterly/Periodic Review

    Periodic Reviews of firm books/records, advertising, and overall training.

  • RIA Registration

    Registration for new RIA's

  • Compliance Software

    All packages come with RIA Review.

Mock Audit
  • Review of policies, books, and records
  • Review of client files and invoices
  • Review of Form ADV
  • Review of agreements and transactions
  • Review of personal trading (best execution)
  • Review of fee arrangements and accounts
  • Review of advertising and websites
  • Review of deliverables and reporting
  • Review of data/record retention security
  • Compliance Officer Training
  • Suggestions for improvements
  • Report Summary
RIA Registration
  • Assistance with FINRA Entitlement Form
  • Assistance with FINRA E-Pay Setup
  • ADV Part 1 (IARD Online)
  • ADV Part 2A & B Brochure
  • Investment Advisory Agreement
  • CCO Checklist with recordkeeping guidelines
  • Privacy Policy Notice
  • Policies & Procedures Manual
  • Code of Ethics
  • Business Continuity Plan
  • Annual ADV Offer Letter
  • State Advertising Guidelines
  • Phone/Email Support
  • ADV Brochure
  • Filings
  • Website
  • Compliance Documents
  • Email Support; Phone Support
  • Basic CCO Training
  • Compliance Checklists
  • Automated Compliance Reminders
  • Business Development Assistance
  • Business Strategy

Tier 2 Compliance Service

  • Review

    Annual/Bi-annual review of compliance procedures; ADV Amendment multiple updates, and more.

  • Compliance Software

    All packages come with RIA Review, our compliance management software (Premium or Premium Plus)

  • Registration/Transitions (SEC to State or Vice Versa)

    Existing Advisors who need to change their registration status.

Annual/Bi-Annual Prep
  • Annual Review (one-time review/edit of compliance documents)
  • Annual ADV Updating Amendment/Updates
  • Annual Checklist (w/ state-specific requirements)
  • Phone/Email Support
Switching from SEC-State or Vice Versa

    Existing advisors only

  • ADV Application: Part 1A, 1B, and updating Part 2A
  • Updating compliance documents w/ state or SEC info (if applicable)
  • Follow-up with regulators (as-needed)

Tier 3 Compliance Service

  • Web CRD/IARD Filings

    ADV Part 1A, 1B (State), 2A, 2B Brochure updates; U-4, U-5, U-10, and other filings

  • Compliance Software

    All packages come with RIA Review, our compliance management software (Premium or Premium Plus)

Disclosures / Filings

    Flat rate for ADV Part 1A + 2A Brochure Amendment

  • Annual checklist
  • U-4, U-5, U-10, and other filings
  • State De-Minimis filings
  • Policies & Procedures Manual (template available for extra fee)


  • Services Include

    Documentation monitoring (e.g. reporting Transaction monitoring...more)

  • Enterprise Software

    Inquire about Enterprise solution availability

Enterprise / Regulatory-Research Projects
  • Review regulatory framework
  • Discussion of rulemaking parameters/audit procedures
  • Implementation with your IT/tech team for platform creation
  • Models:

  • Financial Networks, Robo Advisory, B2B, B2B2C, B2C

Building your Technology/Stack

Are you a new/existing firm looking to find technology vendors?

Ask about our technology integrations and/or offers

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