Compliance Manager

RIAReview is a simple, customizable solution for registered investment advisors. With features such as regulatory news updates, an automated compliance calendar, checklists, online forms and templates, your firm can leverage our system to help reduce discrepancies and/or fines from SEC, State, and FINRA regulators in a frictionless manner.

Calendar

Keep track of all of your company's required filings, their due dates, and related details so you can avoid incurring any fines or other penalties for late filings or missing information.

Procedures

Document the supervisory system that has been established to ensure that compliance guidelines are being followed.

Checklists

To-Do Lists and planners to review requirements, deadlines, policies, processes, and procedures.

Forms

Filing Instructions for Form CRS(Customer Relationship Summary), ADV Part 1A + 2A Brochure Amendment, Annual checklist, U-4, U-5, U-10, and State De-Minimis filings

Agreements

Solicitor's agreement, Consulting Agreement, Financial Planning Agreement, and more...

Public Disclosure Portal

Disclosures/due diligence for your clients, vendors, and/or investors.

Review Center

Customized Policies, Procedures, Training and Review Templates

Cloud Storage Directory

Print, file, or store records in your private Compliance Cloud directory (10GB).

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