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 Adopts Amendments to Broaden Accredited Investor Definition

On August 26, 2020, the SEC expanded the definition of “accredited investor,” which is one of the primary tests for…

Recent SEC Cybersecurity and Resiliency Observations

On January 27, 2020, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published observations from examiners pertaining to market…

SEC Takes Action Against Adviser for Defrauding Retirees and Investors Nearing Retirement

On December 19, 2019, the SEC filed a complaint in federal court against a Sacramento, California-based investment advisory firm and…

Registration Requirements for Zero De Minimis States

This year alone, the Texas State Securities Board has fined 4 Registered Investments Advisers (RIAs) for providing investment advice to…

Recent Virginia Rule Changes

As you may know, cyberattacks on an organization’s data information systems have been increasing at exponential rates throughout every industry.…

NASAA 2019 Investment Adviser Coordinated Exam Report

Sample data from state securities examiners is collected every two years and is reported voluntarily to The North American Securities…

Social Media White Paper

For some firms, social media platforms can be successful marketing tools. However, such tools come with important compliance considerations, including…

SEC’s Supervision Initiative Risk Alert

On July 23, 2019, the SEC's Office of Compliance Inspections and Examinations (OCIE) published a Risk Alert, which discussed its…

SEC Adopts New Rules and Interpretations Impacting RIAs and BDs

On June 5, 2019, the SEC voted to adopt the Form CRS Relationship Summary and Regulation Best Interest, also known…

SEC NEWS

SEC NEWS

DIVISION OF INVESTMENT MANAGEMENT NEWS