Compliance Services
Service Description
We can provide assistance or guidance with your compliance program on a 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 Pricing Options Pre-paid consulting packages at a discounted hourly rate of $225 when purchasing 10 and 15-hour blocks of time. 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 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
Contact Details
833-742-2246
ivan@riacc.io
Suite A 2407 S Bagdad Rd, Leander, TX 78641, USA