We know your time is the most valuable asset, so we make it easier for your firm to comply with both SEC and State regulatory guidelines.

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.

Regulatory Developments

Stay abreast with regulatory changes, new requirements and updates which are critical for ensuring that the firm’s compliance obligations are met.

Documentation & Alerts

Create alerts for filings, client delivery, and document updates. Store data in our highly secure cloud storage to facilitate your firm’s audit preparation, aided by our library of checklists, forms, templates, agreements, and attestation documentation.

Compliance Review Center

Reduce your risk, avoid fines and save firm costs with our online compliance review center; designed to help guide firm’s through the process of reviewing the effectiveness of their compliance programs.

Compliance Review Management & Efficiency

RIAReview helps firms establish a time saving, simple, cost effective, yet highly streamlined compliance process management. The result? An efficient and flexible, solution which you can tailor in accordance to your unique business model and optimize your firm's data.

Client Documentation

Audit Preparation

Compliant Books & Records Storage

Recorded Webinar Library

Our recorded webinar series library contains insight on regulatory topics such as: SEC/State Audits, Advertising, Reporting, Filing, Registration, documentation, and other hot topics (new).

Available to Premium and Premium Plus users only.

We will have more resources available for members of our FINCommunity. Contact us for updates.

How It Works

Check requirements and deadlines
Customize the review process
Print, file, or store records online

Create a RIA Review account in a few easy steps

Whether you are a large or small firm, SEC RIA, State RIA, Hybrid RIA/Broker- Dealer, or outsourced provider, this solution is tailor-made for your needs.

With an easy to use interface, RIAReview is a highly compatible and smart compliance management solution designed with the aim of minimizing RIA firm/client costs, while unlocking value compliance delivery, usability, interoperability with other systems and savings.

Features

Free

Compliance Calendar
Annual deliverables/deadlines
Compliance Guidelines
SEC/State
Registration
Web CRD/IARD
Instructions
Premium
All Free Features Plus
Compliance Planner
To-Do Lists/Planner
Operations Workflow
Advertising
Books/Records
Client Delivery
Designations
Custody Center
Custody Rule
Procedures
Cloud Compliance Directory
Cloud Books/Records Storage
Checklists
Calendar Items
SEC Compliance
State Compliance
Forensic Testing
Forms
Procedures Manual
Client Suitability
Privacy Policy
... and more
Agreement Templates
Investment Advisory
Consulting Agreement
Financial Planning Agreement
... and more
Video Library
Compliance Training topics
Premium Plus
All Free and Premium Features Plus
Disclosure Documents
Filing Instructions:
ADV Part 2A/B (SEC)
ADV Part 2A/B (State)
...and more
Review Center
Review Templates
Code of Ethics docs

Review.Simplified

Our goal is to help firms to establish a compliance management process that can be tailored to their unique business model.

Ten Benefits for using RIAReview to satisfy common discrepancies

Discrepancy

Failure to file and/or pay registration fees.

Result

Examiners can cancel registration — making it difficult to re-register or interrupt operations (e.g. stop collection of fees.

Solution

Use online calendar, alerts, or to-do list on our Dashboard.

Discrepancy

Failure to maintain books/records

Result

Regulators can fine the firm or stop operations

Solution

Use our secure cloud-based compliance directory to store files.

Discrepancy

Failure to conduct a review of policies/procedures (Rule 206(4)-7 (SEC), Rule 38a-1 (registered funds), FINRA Rule 3010 (RIA/B-D’s).

Result

Examiners can send a discrepancy (fix-it) letter or fine notice.

Solution

Use online calendar, checklists, and/or Review Center.

Discrepancy

Failure to update/maintain client agreements.

Result

Examiners can send a discrepancy (fix-it) letter or fine notice.

Solution

Use online forms to update, print, and file agreements.

Discrepancy

Failure to conduct forensic testing or a review of risks.

Result

Examiners can send a discrepancy (fix-it) letter or fine notice.

Solution

Use checklists to update and print out for documentation

Discrepancy

Failure to supervise an access person/maintain code of ethics provisions.

Result

Examiners can send a discrepancy (fix-it) letter or fine notice.

Solution

Use online forms for producing code of ethics documentation.

Discrepancy

Failure to update ADV (Part 1A/B, 2A, and/or 2B).

Result

Examiners can send a discrepancy (fix-it) letter or fine notice.

Solution

Use checklists or disclosure document forms.

Discrepancy

Failure to register/notice file in other states.

Result

Examiners can send a discrepancy (fix-it) letter or fine notice, and/or stop firm from conducting business in that state.

Solution

Use online calendar, alerts, or de-minimis checklist.

Discrepancy

Failure to send in financial statements to state regulators (state firms with custody requirements).

Result

Examiners can send a discrepancy (fix-it) letter or fine notice.

Solution

Use our calendar to set reminder for producing financial documents (GAAP reporting.

Discrepancy

Failure to provide accurate invoices/ generate incorrect fees billing calculations.

Result

Clients may be overcharged. Examiners can send a discrepancy (fix-it) letter, fine notice, and require reimbursing clients.

Solution

Use checklist for forensic testing of fees.