Does Your Investment Advisory Firm Need Help?

These are difficult times in which to be a registered investment adviser (“RIA”). Aside from the troubled economy and volatile stock market, RIAs are dealing with a rapidly-evolving compliance environment. Because of the new Dodd-Frank Wall Street Reform and Consumer Protection Act, many RIAs are now subject to the oversight of state securities regulators.

No matter who regulates your firm, you can be sure of one thing: Regulators want to demonstrate that their oversight is thorough and effective to ensure that investors are protected. As a result, it is imperative that you comply with every rule and regulation.

You don’t have to go it alone. RIA Compliance Group can assist you with all of your compliance needs, whether you are a new applicant or are required to make the transition to state registration.

Seasoned advisers also rely on our advice, because they too know that satisfying their compliance obligations is much harder than it once was. With RIA Compliance Group, your primary focus can be on the markets, the economy, and your clients.