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COMPLIANCE SERVICES

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

Whether you’re just starting out, looking to expand into new ventures, or facing unexpected challenges, RIA Compliance Concepts is here to help. If you’ve been looking for experienced assistance with RIA compliance services, get in touch with our firm today. We can discuss your immediate needs, as well as pricing and availability.

Pricing Options

Pre-paid consulting packages at a discounted hourly rate of $225 when purchasing 10 and 15-hour blocks of time.

or

Concepts for $225 per month

  • Online compliance calendar-

  • Monthly compliance reminders

  • Up to 6 hours of ad-hoc compliance time

  • Assistance with annual renewal and annual amendment

or

Monthly Subscription packages

  • Concepts II for $450 per month - up to 2.5 hours per month

  • Concepts III for $675 per month - up to 4 hours per month

  • Concepts IV for $1175 per month - up to 8 hours per month

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