Compliance Consulting

We specialize in services for

Registered Investment Advisors | Financial Planners | Private Fund Advisors | Robo-Advisors | Fund Managers | FinTech Entrepreneurs

With the rate at which the financial industry is changing, advisors may find it difficult to interpret regulatory changes. We strive to offer our clients a cost-effective solution. We take a "hands-on" approach, and if necessary, will contact regulators to find out an answer for you.

Tier 1 Compliance Service

Mock Audit

Review of firm books and records
Quarterly/Periodic Review

Periodic Reviews of firm books/records, advertising, and overall training.
RIA Registration

Registration for new RIA's
Compliance Software

All packages come with RIA Review.

Tier 2 Compliance Service

Review

Annual/Bi-annual review of compliance procedures; ADV Amendment multiple updates, and more.
Compliance Software

All packages come with RIA Review, our compliance management software (Premium or Premium Plus)
Registration/Transitions (SEC to State or Vice Versa)

Existing Advisors who need to change their registration status.

Tier 3 Compliance Service

Web CRD/IARD Filings

ADV Part 1A, 1B (State), 2A, 2B Brochure updates; U-4, U-5, U-10, and other filings
Compliance Software

All packages come with RIA Review, our compliance management software (Premium or Premium Plus)

Enterprise

Services Include

Documentation monitoring (e.g. reporting Transaction monitoring...more)
Enterprise Software

Inquire about Enterprise solution availability

See Us In Action

Demo

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(For Disclosure Delivery and Communications via a Smartphone)

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