OUR SERVICES
RIA SERVICES
RIA Compliance Concepts offers a wide variety of cost-effective compliance solutions
Registration Services
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We will help guide you through the initial state or SEC RIA registration by providing assistance with the following:
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Initial setup of the FINRA IARD/CRD account.
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Preparation, organization, and submittal of the various supplement documentation needed.
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Creation of the Form ADV Part 2A and Part 2B disclosure brochures.
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On-going consultations and communications with regulators during the registration application process.
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CCO Compliance Training after your RIA is approved.
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Development of the following standard compliance documents:
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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.
Compliance Services
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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:
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Form ADV Amendments
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Correspondence Reviews
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Trade Surveillance/Error Reviews
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Check and Transaction Reviews
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Quarterly Management Fee Calculation Reviews
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Quarterly Performance Report Reviews
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Outside Business Activity Reviews
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Customer Compliant Reviews
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Cash Report Reviews
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Quarterly and Annual Personal Transaction Reviews
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Semi-annual Client and Suitability Reviews
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Soft Dollar Reviews
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Contract Reviews
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Policies and Procedures Reviews
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Advertising Reviews
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Gift Log Reviews
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Political Contribution Reviews
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Custody Reviews
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ADV and Privacy Delivery Reviews
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Annual Risk Assessment and Review
Annual Renewal and Amendment Services
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RIA Compliance Concepts offers assistance with annual renewal and annual amendment filings in three tiers:
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Tier 1 - Form ADV amendments with the mandatory updates.
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Tier 2 - Form ADV amendments with up to two material changes.
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Tier 3 - Form ADV amendments with 3+ material changes.
Audit Services
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RIA Compliance Concepts offers audit services for state and SEC-registered investment advisory firms.
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