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Sales Number: 650-305-2688
Email: cory@riareview.com
Address: 2950 Buskirk Ave, Suite 300, Walnut Creek, CA 94597
Email: cory@riareview.com
Address: 2950 Buskirk Ave, Suite 300, Walnut Creek, CA 94597
RIA Review Offers
Receive a free audit request list when signing Free version
Receive a brief Compliance Assessment* with purchase of a paid version
(*brief review of ADV)
Use Cases
Based on actual clients from RIA Consults/Review
Newly Formed Robo-Advisor with the SEC
- Advisor registers a robo-advisory firm with SEC.
- Advisor receives a notice from examiners to provide its compliance manual and code of ethics
- Advisor signs up for RIA Review retrieve needed documentation and review regulatory updates
- Advisor tailors the online documentation templates to his firm’s business model.
- Advisor delivers his online documentation to SEC Regulators
- Advisor stores his documentation for books and records requirements
- Advisor conducts a periodic review using Review Center to fulfill its obligations
California registered Advisor who was recently audited by the Department of Business Oversight
- Advisor receives a discrepancy letter from examiners to update his ADV and agreements
- Advisor goes online for RIA Review retrieve summary of ADV disclosures and agreements
- Advisor tailors the online documentation templates based on examiner requests
- Advisor files his ADV online to meet regulators
- Advisor stores his documentation for books and records requirements