top of page
In a Meeting


RIA Compliance Concepts offers professional-level assistance to ensure you are ready to navigate any compliance hurdle you may face. Our RIA compliance services are designed to ensure your company can face examination, expansion, and day-to-day operations in full compliance with all regulations. 

Our firm is prepared to step up to the plate and guide you through every challenge your company may experience. We offer flexible services on an hourly, fixed-project, or monthly subscription basis and handle all of the following:

  • Correspondence Reviews

  • Trade Surveillance/Error Reviews

  • Check and Transaction Reviews

  • Quarterly Management Fee Calculation Reviews

  • Quarterly Performance Report Reviews

  • Outside Business Activity Reviews

  • Customer Compliant Reviews

  • Cash Report Reviews

  • Quarterly and Annual Personal Transaction Reviews

  • Semi-annual Client and Suitability Reviews

  • Soft Dollar Reviews

  • Contract Reviews

  • Policies and Procedures Reviews

  • Advertising Reviews

  • Gift Log Reviews

  • Political Contribution Reviews

  • Custody Reviews

  • ADV and Privacy Delivery Reviews

  • Annual Risk Assessment and Review


Men in a Meeting
Monthly Subscripiton Services

Concepts DIY Services - $275 per month

  • Access to an Online Annual Compliance Calendar

  • Monthly Compliance Questionnaire Reminders

  • Annual Renewal and Amendment

  • Six (6) Consulting Hours Per Year 

Concepts II 

$500 per month (Up to 2.5 consulting hours per month)

Concepts III

$725 per month (Up to 4 consulting hours per month)

Concepts IV

$1,250 per month (Up to 8 consulting hours per month) 

Ad-hoc Compliance Services

Pre-paid consulting packages are offered at our discounted hourly rate of $300 when purchased in 10+ hour blocks. 
Our regulatory ongoing compliance services are based on the complexity of your firm’s business model, as well as its regulatory jurisdiction. 

Reach Out to Us

To get in touch, please fill out the contact form below, and one of our dedicated team members will get back to you as soon as we can. 


bottom of page