Compliance Consulting

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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

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    Review of firm books and records

  • Quarterly/Periodic Review

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

  • RIA Registration

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    Registration for new RIA's

  • Compliance Software

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    All packages come with RIA Review.

Tier 2 Compliance Service

  • Review

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

  • Compliance Software

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

  • Registration/Transitions (SEC to State or Vice Versa)

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    Existing Advisors who need to change their registration status.

Tier 3 Compliance Service

  • Web CRD/IARD Filings

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

  • Compliance Software

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

Enterprise

  • Services Include

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

  • Enterprise Software

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    Inquire about Enterprise solution availability

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