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 Review & Assessments

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

Cybersecurity Compliance

Make 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.