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
$2500/Month
Platinum
$7500 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 ($600/mo. value)
Compliance/Training System – six users (add $75/mo. per user)
Social Media/Archiving (Presults) – three people
Cybersecurity Monitoring – 1 user
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 ($400/mo. value)
Compliance/Training System – four users (add $75/mo. per user)
Social Media/Archiving (Presults) – three people
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 ($150/mo. value)
Compliance/Training System – two users (add $75/mo. per user)
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/Training Systems
*Compliance Manager included with consulting packages or available for purchase separately below
Starting at
$150/Month
Compliance Manager
For Individuals
Includes
Four Users
Cloud Storage
Audit Logs
Training Videos
100+ Compliance templates
User-Friendly Dashboard
SEC/State News Feeds
Zapier (connect with 3000 apps)
API/SSO
Add Seats
Per user $75/mo+
Optional
Compliance/Training Consulting
Training/E-Learning Courses
Starting at
$N/A/Month*
Enterprise Manager
*For Admin/Team users - requires minimum annual fee $6000 for dev project
Includes
10 Seats: 1 Admin | 9 Users
Business Branding
Admin Panel for team Access Rights
Compliance Calendar
Cloud Storage
Audit Logs
Training Videos
100+ Compliance templates
User-Friendly Dashboard
SEC/State News Feeds
Zapier (connect with 3000 apps)
API/SSO
Add Seats
Per user $75/mo+
Per admin $125/mo
Optional
Compliance/Training Consulting
Training/E-Learning Courses
Starting at
$500/Month
Training Manager
For ongoing reporting to multiple stakeholders
Includes
One Admin + Unlimited Clients and Staff Portals
Compliance Calendar
Cloud Storage
Standard Operating Procedures/Training
Business
Compliance
IT
Marketing
Partners
Sales
Software
Training
Continuity
App Store/Google Play Dashboards
Add Seats
Per user $100/mo+
Optional
Compliance/Training Consulting
Training/E-Learning Courses
Training Packages
Starting at
$Inquire
Fintech’s, Institutions, Banking
Offered through our vendor network:
BSA/AML
Fintech
CCPA
Cryptocurrency
Other compliance-related topics
Starting at
$Inquire
RIA, Private Funds, Brokerages
Offered through our vendor network:
RIA Compliance
IAR Continuing Education
Insurance CE
FINRA Series Exams training
And more….
Technology Systems Volume Pricing
20%off
10 or more users
33%off
25 or more users
50%off
50 or more users