Full-Service SEC and State Registration

Ongoing Compliance Assistance Program

Mock State/SEC Examinations

Advertising content and compliance

RIA Compliance Group understands how important advertising is in growing your business. Company advertising has become a major factor in the online and offline business world.  Being aware of the rules and regulations that must be followed can become confusing to those not regularly involved in compliance. By working with RIA advertising compliance consultants, you can make sure your advertisements follow the guidelines to be compliant with the SEC rules. We find that many clients, especially new advisers, don’t know where to begin and what disclosures are necessary. For that reason, we offer assistance in creating content and launching marketing campaigns. We can draft personalized and compliant content for use in:

  • Websites
  • Newsletters
  • Presentations
  • Seminars
  • Blogs
  • Brochures
  • Radio and television ads
  • Marketing letters

We have also helped clients with marketing campaigns using social media.