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RIA Compliance Concepts offers a wide variety of cost-effective compliance solutions

Registration Services

We will help guide you through the initial state or SEC RIA registration by providing assistance with the following:

  • Initial setup of the FINRA IARD/CRD account.

  • Preparation, organization, and submittal of the various supplement documentation needed.

  • Creation of the Form ADV Part 2A and Part 2B disclosure brochures.

  • On-going consultations and communications with regulators during the registration application process.

  • CCO Compliance Training after your RIA is approved.

  • Development of the following standard compliance documents: 

Written Supervisory Procedures

Privacy Policy Notice

Code of Ethics

Business Continuity Plan

Advisory Agreement

Electronic Compliance Calendar

A variety of factors are taken in consideration when determining pricing such as additional investment adviser representatives, additional state registration, etc.


You will be responsible for funding your IARD E-Bill account for the initial registration fees.

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Compliance Services

RIA Compliance Concepts can provide assistance or guidance with your compliance program on an pre-paid hourly consulting, fixed project, or monthly subscription basis for the following:



  • Form ADV Amendments

  • 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

Annual Renewal and Amendment Services

RIA Compliance Concepts offers assistance with annual renewal and annual amendment filings in three tiers: 


  • Tier 1 - Form ADV amendments with the mandatory updates. 

  • Tier 2 - Form ADV amendments with up to two material changes. 

  • Tier 3 - Form ADV amendments with 3+ material changes. 

Audit Services

RIA Compliance Concepts offers audit services for state and SEC-registered investment advisory firms. 

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