Pricing
($2500 minimum engagement for new clients of all services)
RIA/ERA Registration Services
Starting at
$4895/flat
RIA Registration
Includes
Standard Services
SEC or State Registration Assistance
FINRA Entitlement/Setup
ADV Part 1A/B; Part 2A & B, and Part 3(Form CRS)
Up to four jurisdictions/notice filings (fee may apply for additional jurisdictions)
Additional Fees
Multiple PE, VC, SPV filings and/or SEC PF entities over $150MM in AUM
Schedule D (7.B, 7.B.1 pooled investment vehicles)
Schedule R (Umbrella + Related Advisors) and/or Form PF filing
Supplemental Forms
Investment Advisory/Financial Planning Agreement
Policies & Procedures Manual
Business Continuity Plan
Privacy Policy Notice
Third-Party Services/Referrals
Ongoing Compliance/Technology
Legal/Private Fund Subscription Document setup
Custody Auditor (PCAOB-registered) referrals
Starting at
$3095/flat
ERA Registration
Includes
Standard Services
SEC or State Registration Assistance
FINRA Entitlement/Setup
ADV Part 1A/B
Schedule D (7.B, 7.B.1 pooled investment vehicles)
Supplemental Forms
Privacy Policy Notice
Third-Party Services/Referrals
Ongoing Compliance/Technology
Legal/Private Fund Subscription Document setup
Custody Auditor (PCAOB-registered) referrals
RIA Compliance Services
Platinum
(CCO/Compliance Officer)
Starting at $3,500/Month
For: RIAs
Includes (some/all) of the following
Ongoing Q&A
Direct access to a compliance expert for operational guidance and regulatory interpretation.
Filings (unlimited)
Filing of Form ADV (Parts 1 & 2), U4/U5, CRS, and amendments.
Monthly Reviews (Full Service)*
Regular compliance checks across procedures, trading, billing, marketing, disclosures, and communications.
Forensic testing for compliance controls.
Annual Review Documentation
Full Rule 206(4)-7 review with risk assessment and documentation.
Compliance Calendar
Customized calendar to track annual tasks, deadlines, and testing requirements.
Policies & Training
Staff training and updates on internal policies, Code of Ethics, and supervision duties.
Regulator Liaison
Support during SEC/state exams, including responses and remediation tracking.
Technology
Compliance Portal (unlimited users)
Unlimited users to manage tasks, documents, and workflows.
Disclosure Portal (unlimited users)
Manage public disclosures and filings.
Securities Filings (fee may apply)
Filings
Filing Form D, Form 13F, N-PX, Schedule 13G/D, and Blue Sky notices.
Gold
(Compliance Assistant)
Starting at $1,500/Month
For: RIAs
Includes (some/all) of the following
Ongoing Q&A
Direct access to a compliance expert for operational guidance and regulatory interpretation.
Filings (up to 6/year)
Filing of Form ADV, U4/U5, Form CRS, and amendments.
Quarterly/Annual Reviews (limited scope)*
Session to assess compliance procedures and address risk areas.
Limited forensic testing for compliance controls.
Compliance Calendar
Customized calendar to track annual tasks, deadlines, and testing requirements.
Policies & Training
Staff training and updates on internal policies, Code of Ethics, and supervision duties.
Document & Manual Updates
Review and revise compliance manual, Code of Ethics, and key firm policies.
Regulator Liaison
Support during SEC/state exams, including responses and remediation tracking.
Technology
Compliance Portal (six users)
Up to six users to manage tasks, documents, and workflows.
Disclosure Portal (six users)
Manage public disclosures and filings.
Securities Filings (fee applies)
Filings
Filing Form D, Form 13F, N-PX, Schedule 13G/D, and Blue Sky notices.
Silver
(Compliance Support)
Starting at $525/Month
For: RIAs
Includes (some/all) of the following
Ongoing Q&A
Direct access to a compliance expert for operational guidance and regulatory interpretation.
Filings (up to 3/year)
Filing of Form ADV updates, U4/U5 changes, and other core filings.
Action Plan Review*
Review session to walk through exam readiness, procedures, and key documents.
Compliance Calendar
Customized calendar to track annual tasks, deadlines, and testing requirements.
Q&A Compliance Support
Access to expert guidance for everyday compliance questions and issues.
Technology
Compliance Portal (two users)
Up to two users to manage tasks, documents, and workflows.
Disclosure Portal (two users)
Manage public disclosures and filings.
Securities Filings (fee applies)
Filings
Filing Form D, Form 13F, N-PX, Schedule 13G/D, and Blue Sky notices.
Securities Filings Services
U.S. Securities Filings & Stakeholder Access
Starting at $2,500/flat
SEC/state securities filings with portal-based archiving for unlimited stakeholder access.
Led by specialists in SEC, Blue Sky, and global reporting.
Includes (some/all) of the following
Form Filings
Form 13F, D, G, H, 8-K, N-PX, PF, N-PORT, N-CEN, and more.
Blue Sky & State
Coordinate multi-state and Blue Sky filings
EU/UK Filings
Support for international disclosure requirements.
Archiving Portal
Secure, searchable access for stakeholders.
Ongoing Updates
File changes triggered by ownership or event thresholds.
Global Securities & Digital Asset Filings
Starting at $2,500/flat
Cross-border regulatory filings and crypto asset disclosures—supported by secure archiving and stakeholder access portals.
Led by experts in EU/UK regulatory regimes, MiCA, VARA, and global fund reporting.
Includes (some/all) of the following
Annex IV (AIFMD) Reporting
Prepare and file Annex IV reports for AIFMs under EU/UK regimes.
VARA Filings (Dubai)
Regulatory filings for Virtual Asset Service Providers (VASPs) under Dubai’s VARA framework.
MiCA & FCA Crypto Compliance
Support for Markets in Crypto-Assets (MiCA) disclosures, FCA crypto firm registration, and AML alignment.
Cross-Border Fund & Entity Registration
Assistance with FCA, CSSF, BaFin, and other national regulators.
Portal-Based Archiving
Secure access for internal, investor, and regulatory stakeholders.
Event-Triggered Updates
Threshold-based reporting for ownership, fund flows, or crypto wallet activity.
Banking/HealthCare/Fund Compliance Services
Compliance/Audit Officer
Starting at $3,500/month
For: Banks & Non-bank Lenders; Fintechs & Regulated Startups; RIAs & Investment Firms; Mortgage Servicers & Debt Collectors, and HealthCare
Includes (some/all) of the following
Regulatory Exam Readiness
Prepare for CFPB, OCC, FDIC, Federal Reserve, and state exams.
Remediate findings, manage consent orders, and deliver board-level reports.
50-State Licensing & SAFE Act
Coordinate mortgage, servicing, and debt collection licensing.
Manage renewals and audits across multi-jurisdiction operations.
Cybersecurity & Data Safeguarding
Implement GLBA 501(b), HIPAA, PCI DSS, SOX, SOC 1/2, SWIFT, BCBS 239.
Oversee identity, access, and second-line risk programs.
Mortgage & Servicing Compliance
Align with CFPB Manual and National Servicing Standards.
Advise on tech integrations, GSE/investor reviews, and agency filings.
HealthCare Compliance
Policy & procedure development, HIPAA/PHI compliance, fraud/waste/abuse prevention.
Audits, Monitoring & Remediation
Perform compliance reviews, root-cause analysis, and action tracking.
Build dashboards for escalation and governance oversight.
Enterprise Risk & Training
Design risk frameworks and certify compliance programs.
Mentor teams and cultivate a strong risk-aware culture.
Fund Administration Officer
Starting at $3,500/month
For: Private Funds (PE/VC/HF), RIAs, Family Offices, Fund Managers, and Emerging Asset Managers
Includes (some/all) of the following
Fund Accounting & Reporting
Support for NAV calculations, investor allocations, and GAAP/IFRS-compliant reporting.
Coordinate with auditors, tax advisors, and custodians.
Capital Activity Administration
Track capital calls, distributions, and investor commitments.
Manage waterfall calculations and fee modeling.
Investor Onboarding & Compliance
Assist with subscription documents, AML/KYC reviews, and side letter compliance.
Maintain investor records and data rooms.
Regulatory Filings & Disclosures
Support Form ADV, Form PF, Form D, Form N-PX, and Blue Sky filings.
Monitor deadlines and coordinate with legal teams.
Performance & Valuation Support
Maintain internal benchmarks, valuation models, and fund metrics.
Provide analytics for LP reporting and investor decks.
Operational Infrastructure
Recommend systems for fund accounting, CRM, and investor reporting.
Oversee vendor onboarding and process automation.
Back Office Training & Oversight
Train internal teams on workflows, compliance obligations, and reporting tools.
Document SOPs and provide ongoing oversight for quality assurance.
Accounting/Audit Support Services
CFO/Audit Officer
Starting at $2,500/flat
Manage ongoing bookkeeping and financial reporting
✔ Led by CPAs, former Big-4 managers, and/or experienced accounting professionals.
Includes (some/all) of the following
Accounting Oversight
Monthly financial reviews with guidance on accruals, fixed assets, and expense coding.
Financial Reporting
P&L, balance sheets, cash flow forecasts, and variance analysis.
Internal Controls
Risk assessments, workflow design, and fraud prevention.
System Setup
Configure accounting tools like QuickBooks, NetSuite, or Xero
Audit Readiness. Prepare policies and documentation for third-party audit.
IT/Audit Officer
Starting at $inquire/month
Audit readiness for investment firms, FinTechs, and service providers—without full-time overhead.
✔ Delivered by licensed CPAs, audit coordinators, and IT/security professionals.
Includes (some/all) of the following
Audit Readiness
HITRUST & SOC 1/2 prep
Custody rule (SEC 206(4)-2) support
PCAOB audit coordination
Financial & Controls Support
Financial statement & records review
Internal controls (IT, finance, HR)
Templates, evidence folders, risk registers.
Monitoring & Integration
Quarterly control testing & updates
System/tool reviews (AWS, Okta, Jira)
Vendor risk & due diligence
Ready-to-Use Deliverables
Policies, control matrices, remediation plans, board summaries
Exit Planning Officer
Starting at $7,500/flat
Prepare for exit and boost valuation. For Business Owners, RIAs, CPA Firms, Private Equity Portfolio Companies, Founders, and Professional Services Firms
✔ Delivered by licensed Exit Planners, M&A, and/or accounting professionals .
Includes (some/all) of the following
Valuation & Readiness Assessment
Support third-party valuation and develop an actionable exit roadmap.
Dataroom & Deal Prep
Organize due diligence docs, SOPs, and financials for buyer review.
Deal Structuring & Advisor Coordination
Work with legal, tax, and M&A teams on structuring options and risk mitigation.
Value Enhancement Strategy
Identify growth levers and cleanup items to boost valuation multiples.
Tax, Compliance & Succession Readiness
Flag issues in structure, contracts, or governance that impact exit.
Buyer Outreach & LOI Support
Support early-stage buyer discussions and non-brokered term reviews.
Owner Coaching & Post-Exit Planning
Guide mindset shift, wealth transition, and long-term planning.
Federal Contractor/ Compliance Services
FedRAMP Registration
Starting at $12,500/flat
Tiered support for cloud service providers pursuing FedRAMP—includes document review, registry support, and secure portal access for stakeholder collaboration.
✔ Delivered by fmr. Navy commander, security/data expert, experienced veteran
Tier 1 - Starter Readiness
Includes (some/all) of the following
High-level FedRAMP Readiness Review
Based on Low/LI-SaaS Security System
Moderate, High, and DoD Impact
Level Reviews available
Gap Summary Report
With strategic remediation recommendations
Registry Process Guidance
Marketplace listing prerequisites
Up to 3 days
Of Advisory on roadmap planning
Tier 2 – Standard Registry Support
Inquire
Tier 3 – Comprehensive Authorization Prep
Inquire
Disclosure Portal
Real-time collaboration & reporting
Audit Readiness & Gap Analysis
Starting at $15,000/project
Tiered assessments to help contractors and cloud providers prepare for upcoming audits—includes documentation review, control testing, remediation planning, and portal-based collaboration.
✔ Delivered by fmr. Navy commander, security/data expert, experienced veteran
Tier 1 - Readiness Check
Includes (some/all) of the following
Documentation Review
Key policies and procedures
Moderate, High, and DoD Impact
Level Reviews available
Sample Control Testing
Up to 40 NIST/CMMC/FedRAMP controls
Gap Summary Report
Prioritized issues
2-Hour Advisory Call
Review findings and next steps
Tier 2 – – Standard Gap Analysis
Inquire
Tier 3 – Comprehensive Audit Simulation
Inquire
Disclosure Portal
Real-time collaboration & reporting
Compliance Officer-as-a-Service
Starting at $7,500/month
Ongoing compliance support for contractors and cloud providers—from quarterly check-ins to full-service officer functions. All tiers include secure portal access for issue tracking, document sharing, and reporting.
✔ Delivered by fmr. Navy commander, security/data expert, experienced veteran
Tier 1 – Oversight Lite
Includes (some/all) of the following
Quarterly Compliance Check-ins
Policy & Procedure Updates (Lite)
Issue Tracking & Regulatory Alerts
Advisory Support (8 hrs/month)
Marketplace listing prerequisites
Tier 2 – Managed Compliance Program
Inquire
Tier 3 – Full-Service Compliance Officer
Inquire
Disclosure Portal
Real-time collaboration & reporting