RIA Express

Our Investment Advisor Compliance Technology Tools

Utilize our proprietary investment advisor compliance technology tools to create your registered investment advisor’s compliance documents and review your registered investment advisor’s compliance program.

RIA Express – Compliance Manual Drafter

Have you ever thought about drafting on your own the compliance manual for your investment advisor but didn’t know where to start? RIA Express – Compliance Manual Drafter is a cost effective solution that provides you an efficient way to do it yourself and create a customized compliance manual.

You answer a dynamic and detailed set of questions online in RIA Express about your investment advisor’s personnel, business model, and procedures and practices. RIA Express will then automatically create a customized written supervisory procedures and code of ethics manual based upon your answers and the published investment advisor rules of your firm’s primary securities regulator. This draft compliance manual is delivered to you in a Microsoft Word document format so that you can edit and finalize the policies and procedures as necessary.

The fixed fee for an investment advisor to draft a compliance manual using RIA Express is $795 for a state registered firm and $895 for a SEC registered firm. RIA Express is able to draft compliance manuals for State-registered or SEC-registered investment advisors.

Follow this link to view a pre-recorded demonstration. If you are ready to purchase RIA Express – Compliance Manual Drafter, please select your preferred version of the tool below:

• Self-Customized, Regulator Specific Compliance Manual (SEC Registered Investment Advisor) via RIA Express
• Self-Customized, Regulator Specific Manual (State Registered Investment Advisor) via RIA Express