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

2020 Year End Compliance Review

2020 was a busy year for the SEC’s Office of Compliance Inspections and Examinations. On November 19, 2020, Peter Driscoll,…

SEC Risk Alert Helps RIAs Avoid Compliance Rule Deficiencies

On November 19, 2020, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert dealing with the…

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…

SEC Examination Priorities

The SEC’s Office of Compliance Inspections and Examinations (OCIE) publishes a yearly list of examination priorities. Although Registered Investment Advisers…

SEC Risk Alert Gives Advice to Private Fund Advisers

The SEC has published a Risk Alert, which summarized compliance issues discovered during hundreds of examinations of investment advisers that…

NASAA’s Annual Report Provides Important Guidance for State-Registered Advisers

The North American Securities Administrators Association (NASAA) recently released its Investment Adviser Section Annual Report, which is filled with extremely…

SEC Charges RIA and its Co-Owners for Not Disclosing Side Compensation

On February 12, 2020, the SEC filed a civil enforcement action against a Registered Investment Adviser (RIA) in California, as…

RIAs Should Plan for the Mental Incapacity of Principals and IARs

Most investment advisers are aware of the obligations they owe to clients who are experiencing cognitive decline. Typically, Registered Investment…

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 NEWS

SEC NEWS

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