Pricing
What We Offer
Consulting*
Compliance, SEC, State, FINRA, BSA, AML
Training*
Compliance, Banking, Operations, Cybersecurity
Technology
Desktop/Mobile
Integrations
Archiving, CE, Zapier, API, SSO, and more
Auditors/Accountants*
Private Fund audits (PCAOB, AICPA)
SMBs, FinTechs, Private Funds, Institutions
Partners, Software, Trainings
Please review our standard options below.
*Some services through our partner network may be customized to your specific firm needs.
RIA Registration
Starting at
$4895/flat
Includes
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
ERA Registration
Starting at
$3095/flat
Includes
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
Consulting Packages
Starting at
$3000/Month
Platinum
$9000 per quarter depending on needs/firm complexity
Consulting
Unlimited Filings
Monthly or Quarterly Review
Compliance Calendar setup
Policies and Procedures Training
Annual Review/Risk Assessment
Marketing Material Review
Liaison with Regulators
General Q&A Compliance Support
TECHNOLOGY
Compliance Portal - six users
Disclosure Portal - optional
TECHNOLOGY ADD-ONS
Seats: $25/mo
Unlimited Seats: $500/mo
API/SSO: $inquire
FINTech Partners: $inquire
OPTIONAL/FEE APPLIES
13-F Filing Service (File 13 | F) + $75/mo
CE for IAR, CFP, CFA, FINRA, SIE KAPLAN
Training or Compliance/AML Consulting
Starting at
$1500/Month
Gold
$4500 per quarter depending on needs/firm complexity
Consulting
Up to six filings*
Annual review meeting to review procedures
Document check/manual updates
General Q&A Compliance Support for expert guidance
TECHNOLOGY
Compliance Portal– four users
Disclosure Portal - optional
TECHNOLOGY ADD-ONS
Seats: $25/mo
Unlimited Seats: $500/mo
API/SSO: $inquire
FINTech Partners: $inquire
OPTIONAL/FEE APPLIES
13-F Filing Service (File 13 | F) + $75/mo
CE for IAR, CFP, CFA, FINRA, SIE KAPLAN
Training or Compliance/AML Consulting
Cybersecurity Monitoring – 1 user - (OPTIONAL)
Starting at
$500/Month
Silver
$1500 per quarter depending on needs/firm complexity
Consulting
Up to three filings*
Annual audit prep call to discuss procedures/requirements
General Q&A Compliance Support for expert guidance and peace of mind
TECHNOLOGY
Compliance Portal– two users
Disclosure Portal - optional
TECHNOLOGY ADD-ONS
Seats: $25/mo
Unlimited Seats: $500/mo
API/SSO: $inquire
FINTech Partners: $inquire
OPTIONAL/FEE APPLIES
13-F Filing Service (File 13 | F) + $75/mo
CE for IAR, CFP, CFA, FINRA, SIE KAPLAN
Training or Compliance/AML Consulting
Social Media/Archiving (Presults) – three people
Cybersecurity Monitoring – 1 user - (OPTIONAL)
Compliance/Whitelabeled/Integration Portals
*Compliance Manager included with consulting packages or available for purchase separately below
Starting at
$100/month
Compliance Portal
Setup Fee
Base: $None
Zapier: $inquire
SSO/API: $inquire
Includes
Two Seats
Firms
Advisors
Private Funds
Broker-Dealers
Stakeholders
Staff
Clients
Vendors
Consultants
Features
Admin/User Portals
User-Friendly Dashboard
Shareable Team Calendars
Document and Task Management
Compliance/Disclosure Logs
Customizable Features for Various Firm Types
SEC/State News Feeds
100GB per user
Mobile App Portal via App Store and Google Play
Technology Add-Ons
Per Seat: $25/month
Unlimited Seats: $500/month
Customizations: None
Starting at
$500/month & up
Whitelabeled Portal
Setup Fee
Base: $inquire
Zapier: $inquire
SSO/API: $inquire
Includes
Unlimited Seats
Firms
Advisors
Private Funds
Broker-Dealers
Stakeholders
Staff
Clients
Vendors
Consultants
Features
Company Branding
Super Admin/Admin/User Portals
Team Access Rights
Compliance Calendar
Cloud Storage
Audit Logs
Training Videos
100+ Compliance templates
User-Friendly Dashboard
SEC/State News Feeds
API/SSO Capability
2TB Storage per enterprise portal*
Technology Add-Ons
Mobile App Portal via App Store and Google Play
Seats: Unlimited Included
Add Storage: inquire
Customizations: $flat or hourly fee
Integrations: $inquire
Starting at
$500/month & up
Integrations Portal
Setup Fee
Base: $inquire
Zapier: $inquire
SSO/API: $inquire
Includes
Unlimited Seats
Firms
Advisors
Private Funds
Broker-Dealers
Stakeholders
Staff
Clients
Vendors
Consultants
Features
Company Branding
Super Admin/Admin/User Portals
Team Access Rights
Compliance Calendar
Cloud Storage
Audit Logs
Training Videos
100+ Compliance templates
User-Friendly Dashboard
SEC/State News Feeds
API/SSO Capability
2TB Storage per enterprise portal*
Technology Add-Ons
Mobile App Portal via App Store and Google Play
Seats: Unlimited Included
Add Storage: inquire
Customizations: $flat or hourly fee
Integrations: $inquire
Sales, Partner, Support Packages
Starting at
$2500/month
FINtech Sales Support
Includes
Discovery – Setup - Implementation
Pipeline – we procure a list of lead
Marketing –Notification Systems
Reseller/Bundling – offer add-ons
Demos – assist with demos/onboarding
Integration –API/SSO consulting
No commitment - cancel anytime