Full-Service SEC and State Registration

Ongoing Compliance Assistance Program

Mock State/SEC Examinations

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

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 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!

RIA COMPLIANCE GROUP BLOG

SEC Sanctions an Investment Adviser for Several Compliance Deficiencies

On January 11, 2022, a Registered Investment Adviser (RIA) in Rockaway, New Jersey, consented to the entry of an SEC…

SEC Sanctions an Investment Adviser for Several Compliance Deficiencies

On January 11, 2022, a Registered Investment Adviser (RIA) in Rockaway, New Jersey, consented to the entry of an SEC…

NASAA’s 2021 RIA Examinations Sweeps Results

On September 20, 2021, the North American Securities Administrators Association (NASAA) announced its findings from a series of 1,206 coordinated…

NASAA Enforcement Report Reinforces the Importance of Compliance

On September 29, 2021, the North American Securities Administrators Association (NASAA) published its annual enforcement report. According to the report,…

RIAs Get Bad Report Card from the SEC on their Fee Calculations

On November 10, 2021, the SEC’s Division of Examinations (Division) published a Risk Alert containing examiners’ observations regarding investment advisers’…

Impact of Transaction Fee Waivers on an RIA’s Fiduciary Duty

As you all know, over the last few years, many custodial broker-dealers such as Schwab and TD Ameritrade have reduced…

Webinar – Prohibited Exemption Training for Investment Advice Fiduciaries

On December 18, 2020, the U.S. Department of Labor (DOL) published its final prohibited transaction exemption addressing investment advice fiduciaries…

SEC Enforcement Actions Signal Continued Scrutiny of 12b-1 Fees, Revenue Sharing Arrangements, and Wrap Fee Programs

In recent weeks, the SEC has continued to bring enforcement actions against Registered Investment Advisers (RIAs) that breached their fiduciary…

SEC Enforcement Actions Against Firms with Weak Cyber Policies

Rule 30(a) of Regulation S-P, better known as the Safeguards Rule, requires firms to adopt written policies and procedures to…

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