...compliance solutions made simple.

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NEW - Smart RIA Compliance Software

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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

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Ongoing Compliance

Cost effective consulting packages

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Compliance Review & Assessments

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

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Cybersecurity Compliance

Make cybersecurity compliance a breeze

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Compliance Dashboard

Fully customizable compliance software

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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.

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SEC NEWS

SEC NEWS

  • SEC Announces Departure of David Saltiel
    on June 18, 2025 at 12:04 pm

    The Securities and Exchange Commission today announced that David Saltiel, who has served as Acting Director of the Division of Trading and Markets, will depart the agency effective July 4, 2025. He has served as Acting Director since December 2024, […]

  • SEC Names Erik Hotmire as Chief External Affairs Officer and Director of the Office of Public Affairs
    on June 13, 2025 at 2:30 pm

    The Securities and Exchange Commission today announced that Erik Hotmire will return to the SEC as Chief External Affairs Officer and Director of the Office of Public Affairs, effective June 16, 2025.  “I am delighted that Erik is coming back […]

  • SEC Names Kurt Hohl as Chief Accountant
    on June 13, 2025 at 2:00 pm

    The Securities and Exchange Commission today announced that Kurt Hohl, with nearly 40 years of accounting and auditing experience, has been named Chief Accountant, effective July 7, 2025. Acting Chief Accountant Ryan Wolfe will return to his role […]

  • Brian Daly Named Director of Division of Investment Management
    on June 13, 2025 at 1:30 pm

    The Securities and Exchange Commission today announced that investment management industry leader Brian T. Daly will become the new Director of the Division of Investment Management, effective July 8. Mr. Daly brings decades of experience serving […]

  • SEC Names Jamie Selway as Director of Trading and Markets
    on June 13, 2025 at 12:06 pm

    The Securities and Exchange Commission today announced the appointment of Jamie Selway, an accomplished financial markets leader, as Director of the Division of Trading and Markets, effective June 17, 2025. “I’d like to welcome Jamie to the […]

DIVISION OF INVESTMENT MANAGEMENT NEWS