Our Services

Working directly with your investment advisor firm’s managing principal or chief compliance officer, RIA Compliance Consultants can help your firm identify registration or compliance challenges, and then build and implement practical solutions that are effective, efficient and meet your investment advisor’s regulatory responsibilities.

RIA Compliance Consultants can address your investment advisor registration and compliance concerns. Below is a general list of the registration and compliance services we offer registered investment advisors. For more details, please click on the specific service listed below or call us so we can discuss what may be most appropriate for your registered investment advisor firm.

• Turn-Key Investment Advisor Registration Service
• Annual Compliance Programs
• Individual Services
  • ADV Annual Amendment Service
  • Form ADV
  • Client Brochure
  • Wrap Program
  • Solicitor Disclosures
  • Registration Renewals & Form ADV Annual Amendment
  • IARD Service Bureau
  • Renewals / ADV Amendment 2015
  • Privacy Policy & Procedures
  • Advertising Review
  • Compliance Training
  • Compliance Program Assessment/Annual Review
  • Mock Regulatory Exam
• Investment Adviser Conference

Working with RIA Compliance Consultants can help you to deliver investment advisory services that meet your firm’s regulatory obligations as a registered investment advisor. Call us at 877-345-4034 for more details about what we can do to help you navigate the maze of today’s regulatory environment for registered investment advisors.