Full-Service SEC and State Registration

Ongoing Compliance Assistance Program

Mock State/SEC Examinations

RIA Registrations

Full service RIA registrations with the SEC or states

Ongoing Compliance

Cost effective consulting
packages

Compliance Reviews & Assessments

SEC Rule 206(4)-7 and state compliance reviews

Cybersecurity Compliance

Make cybersecurity compliance a breeze

Compliance Dashboard

Fully customizable compliance software

SEC-State Registrations

We provide full-service RIA Registration with the SEC and State Regulators.

Ongoing Compliance

We offer cost-effective consulting packages to ensure that your firm remains compliant.

Mock Examinations

Whether State or SEC registered, RIAs can expect rigorous examinations of their books and records.

CyberSecurity Compliance

New Product For RIAs Makes Cybersecurity Compliance a Breeze

Compliance Dashboard

Fully customizable compliance software

Compliance Solutions for Registered Investment Advisers

RIA Compliance Group assists newly registered and established Registered Investment Advisers in all areas of regulatory compliance.  In addition to initial registration services, we provide ongoing operational and compliance support services to small and midsized registered investment advisers. We take pride in giving practical compliance advice, not theoretical concepts and legalese. Too many registered investment advisers rely on RIA compliance consulting firms that understand SEC regulations but don’t have hands-on experience with state regulators. We interact with state securities regulators on a continuous basis and are aware of the specific regulations governing your practice.

The SEC and most states require each registered investment adviser to review its policies and procedures annually to determine the adequacy and effectiveness of their implementation.  RIA Compliance Group offers on-site and off-site examination services that assist investment advisers in meeting their annual review requirement and provides an analysis of the adviser’s readiness for a full regulatory exam from either the SEC or the States.

Our RIA compliance consulting team has over 60 years of combined securities compliance experience.  We are able to assist independent and hybrid investment advisers of all levels of complexity. RIA compliance software isn’t a substitute for personalized service or human interaction. RIA Compliance Group believes in a personalized consulting experience whereby our clients have round the clock access to their consultants. All our documents are drafted in Word format to make sure our clients have full control and complete ownership of their documents.

RIA Compliance Group offers competitive pricing for all consulting services.  Our mission is to provide practical and no-nonsense advice that helps you avoid compliance problems before they occur. We’re available at your convenience, not ours, to handle all of your compliance needs. Call or submit an inquiry today!

Smart RIA Compliance Software

RIA Compliance Group has formed a strategic alliance with Smart RIA, a leader in the field of compliance software for RIAs. With its proprietary Advisor Alert technology, Smart RIA offers the most robust, comprehensive software on the market for helping RIAs grow their business and stay independent while maintaining compliance with federal and state regulations.

Full service SEC and State registration

When examining an RIA, the first document securities regulators see is the firm’s Form ADV. RIAs will not make a good first impression if their Form ADV is inaccurate. Furthermore, an RIA’s Form ADV disclosure brochure must be written in plain English and in language that unsophisticated investors will understand. RIA Compliance Group will work hand-in-hand with you, so that your Form ADV is spot on and captures what makes your firm different from other advisers. A carefully constructed Form ADV disclosure brochure will satisfy regulators and will tell prospective clients what sets you apart from other RIAs.

Ongoing Compliance Assistance Program

RIA Compliance Group offers cost-effective consulting packages to ensure that your firm remains compliant. Our packages offer more consulting time at a price most compliance consulting firms cannot match. Each consulting package provides consulting hours that you can use for any investment advisory compliance issue that arises. No matter what questions or problems you encounter, you can call upon an RIA Compliance Group consultant for guidance and recommendations.

Cybersecurity Program For RIAs

In recent Compliance Outreach Seminars, SEC examiners have announced that they will be scrutinizing investment advisers’ efforts to protect their clients’ sensitive information from cyber threats. State examiners have also started questioning investment advisers about their efforts to implement cybersecurity compliance measures. Because regulators have made cybersecurity policy a high priority, investment advisers must be prepared to demonstrate what steps they have taken to fulfill their obligations in this area.

Mock SEC and State examinations

Whether state or SEC registered, RIAs can expect rigorous examinations of their books and records. In some cases, examinations may be prompted by a tip or complaint. As a result, the experience may be much more adversarial than has been the case in the past.

Advertising content and compliance

RIA Compliance Group understands how important advertising is in growing your business. Company advertising has become a major factor in the online and offline business world.  Being aware of the rules and regulations that must be followed can become confusing to those not regularly involved in compliance.

Customized compliance policies and procedures

Securities examiners expect policies and procedures to be customized, which is why RIA Compliance Group tailors compliance manuals to our clients’ business models. These RIA Compliance policies and procedures are designed to protect investors and prevent violations of the securities laws, rules and regulations. By working closely with advisers and guiding them, the consultants at RIA Compliance Group help firms to establish the ground rules for investment adviser representatives and other associated persons.

RIA COMPLIANCE GROUP BLOG

NASAA 2017 Enforcement Report Contains Important Data for All RIAs

Recently, the North American Securities Administrators Association (NASAA) published its annual enforcement report based on 2016 data. NASAA’s enforcement statistics…

New SEC Risk Alert Identifies Most Frequent Advertising Rule Compliance Issues

On September 14, 2017, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert, which revealed the…

Upcoming Form ADV Changes

As you know, the Securities and Exchange Commission (“SEC”) has adopted amendments to Form ADV Part 1A that will go…

The Five Most Frequent Compliance Topics Identified During RIA Exams

The SEC’s Office of Compliance Inspections and Examinations (OCIE) publishes a list of the five compliance topics most frequently identified in deficiency letters sent to SEC-registered investment advisers.

SEC Publishes Its 2017 Compliance Priorities

Each year, the SEC’s Office of Compliance Inspections and Examinations (OCIE) publishes its priorities, and 2017 is no exception. On…

DOL Fiduciary Rule: Conflicts and Resolution Strategies Webinar

Please join us on January 11, 2017 at 2:00 p.m. Eastern Time to discuss the DOL Fiduciary Rule, conflicts of interest under the rule, and strategies to help resolve those conflicts.

RIAs Must Make Certain They Haven’t Inadvertently Taken Custody of Clients’ Funds or Securities

The SEC has found that Registered Investment Advisers (“RIAs”) may not realize they have custody. Custody” is defined as “holding, directly or indirectly, client funds or securities, or having any authority to obtain possession of them.” When an RIA takes custody of a client’s funds or securities, the risk to that person increases dramatically. The Custody Rule, found in Rule 206(4)-2 under the Investment Advisers Act, was passed primarily to protect clients from unscrupulous investment advisers. Nonetheless, well-intentioned investment advisers may not realize that their actions may trigger the application of the Custody Rule.

RIA Disciplined For Failure to Conduct Annual Reviews

The SEC recently imposed sanctions on a Registered Investment Adviser (RIA) in Lexington, Kentucky, because it failed to conduct the required annual review of the firm’s policies and procedures. The firm also ignored its compliance manual, which stipulated that the RIA would conduct those annual reviews.

SEC Will Examine RIAs That Employ Persons With a History of Disciplinary Events

On September 12, 2016, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert which announced its intent to conduct examinations of Registered Investment Advisers (RIAs) that employ or contract with persons who have a history of disciplinary events. OCIE’s examinations will evaluate the effectiveness of the RIA’s compliance programs, supervisory oversight, and disclosures to clients and prospects.

SEC NEWS