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

SEC Makes Changes to Enhance Information Reported by RIAs

On August 25, 2016, the SEC adopted amendments to several rules under the Investment Advisers Act and revised its registration and reporting forms. The amendments are designed to enhance the reporting and disclosure of information provided by Registered Investment Advisers (“RIAs”) to investors and the SEC.

Client Complaints

Client complaints can negatively impact Registered Investment Advisers (RIAs) for years to come. Examiners expect an RIA to enact policies and procedures detailing how the firm will address complaints. These policies and procedures should demonstrate that the adviser takes all client complaints seriously and will attempt to resolve them.

Investment Adviser Code of Ethics

All SEC-registered advisers must adopt a code of ethics meeting certain minimum requirements:

Investment Adviser Trading Practices

Registered Investment Adviser’s fiduciary obligation to its clients includes the obligation to implement policies and procedures that are intended to prevent and detect unauthorized trading in client and proprietary accounts.

Best Execution

Registered Investment Advisers (“RIAs”) have a fiduciary obligation to seek best execution of clients’ transactions. Securities regulators are likely to…

DOL Releases Fiduciary Rule

On April 6, 2016, the Department of Labor (“DOL”) published its final version of the Fiduciary Rule. Although the rule…

RIA Books and Records Requirements

Rule 204-2 under the Investment Advisers Act identifies the books and records that a Registered Investment Adviser (“RIA”) is required…

SEC Announces Its 2016 Compliance Examination Priorities

In what has become a January tradition, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced its compliance priorities…

Rule 206(4)-7 Requirements – Compliance Policies and Procedures

Implementing thorough and effective compliance policies and procedures can help Registered Investment Advisers (“RIAs”) avoid compliance problems. Rule 206(4)-7 under…

SEC NEWS