“A Common Sense Approach
to Compliance”

RIA Services

Compliance Manual: 

Truly customized – most advertise their manuals as customized, but are truly not tailored to your business and your risk profile.  Ours does not obligate you to perform unnecessary functions and finds the simplest approach to compliance.  Includes a bi-annual update.

Also, our manual is streamlined.  Bigger is not always better.  Don’t be tripped up by compliance procedures that you don’t even know exist because they are buried within an unwieldy manual.

Compliance Calendar:

Stay on top of your monthly, quarterly, annual requirements.  We can provide a compliance calendar that perfectly dovetails with your Compliance Manual.  The service includes e-mail reminders of required tasks.

Form ADV Part 1 and 2: 

We will create and maintain your ADV Part 1 and 2.

State and Federal Filings: 

We can handle your regulatory filings with accuracy and promptness.

206(4)-7 Reviews:

Thorough and reliable risk-based reviews in compliance with Rule 206(4)-7 

RIA Startup:

We manage the entire process from start to finish and become the regulator’s point of contact during the registration process.

Mock Audits: 

Let us discover compliance deficiencies BEFORE the regulators find them.  We will discover them AND help you to remedy them.  We can draw upon our numerous contacts within the industry to find the most reasonable, efficient, and effective way for you to comply.

This service also covers any audits that are required by your broker/dealer.