Full-Service SEC and State Registration

Ongoing Compliance Assistance Program

Mock State/SEC Examinations

Ongoing Compliance Assistance Program

RIA Compliance Group offers cost-effective consulting packages to ensure that your firm remains compliant. Our packages offer more consulting time at a price most compliance consulting firms cannot match. Each consulting package provides consulting hours that you can use for any investment advisory compliance issue that arises. No matter what questions or problems you encounter, you can call upon an RIA Compliance Group consultant for guidance and recommendations. We show you how to utilize your consulting hours most effectively. We tell you in advance how many hours we anticipate a consulting assignment will involve, so there are no surprises. All of our consulting packages include useful monthly RIA Compliance Checklists to help you with your policies. Currently, we offer the following consulting packages:

  • Level 1 (Includes up to   3 hours of consulting services):   $1,920.00
  • Level 2 (Includes up to 10 hours of consulting services):   $3,600.00
  • Level 3 (Includes up to 20 hours of consulting services):   $6,000.00
  • Level 4 (Includes up to 30 hours of consulting services):   $8,400.00
  • Level 5 (Includes up to 40 hours of consulting services):   $10,800.00
  • Level 6 (Includes up to 50 hours of consulting services):   $13,200.00
  • Level 7 (Includes up to 60 hours of consulting services):   $15,600.00

Hours may be used for any of the services/projects below:

  • State registrations and notice filings
  • Customized Written Policies and Procedures
  • On-site or Off-site Compliance Reviews
  • Form ADV Review and Amendments
  • Advertising and website reviews
  • Client initiated telephone consultations
  • SEC and State Deficiency letter reviews and responses
  • Customized Compliance Calendar
  • Investment adviser representative registrations and terminations
  • Transition from SEC to state registration and vice versa.
  • Preparation of compliance risk assessment checklists
  • Chief Compliance Officer training
  • Mock SEC/State examinations

All consulting packages include the following services:

  • RIA Compliance Group will act as a Service Bureau for your IARD account;
  • RIA Compliance will assist you with your annual renewal requirements;
  • RIA Compliance Group will assist you with the preparation and filing of your annual updating amendment(s) as required;
  • RIA Compliance Group will provide you with monthly checklists to assist you with the annual review of your Policies & Procedures;
  • RIA Compliance Group will send periodic emails to explain new rules and or regulations as well as on-going compliance requirements;

Important Disclosures

  1. RIA Compliance Group bills in 10-minute increments. Time in excess of allotment will be billed at $240 per hour. Consulting agreements expire on 12/31 of each year. Hours do not roll over to the next calendar year.
  2. RIA Compliance Group does not offer legal advice. None of the consulting services provided by RIA Compliance Group or its consultants should be considered legal advice or used as a substitute for legal advice. All RIA Compliance Group clients are advised to seek the counsel of an attorney for all legal matters.
  3. RIA Compliance Group does not offer accounting advice.