Building a Strong Compliance Culture for Your Investment Adviser

Thursday, September 25, 2014
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(877) 345-4034
RIA Compliance Consultants

How to Become a Registered Investment Advisor

12:00 – 1:00 p.m. CDT
Wednesday
October 15, 2014

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RIA Compliance Consultants, Inc. is a full-service consulting firm providing registration and compliance services for registered investment advisors.

Most registered investment advisor firms (also known as “registered investment advisers” or “RIAs”) want to provide the best possible investment advice and advisory services to their clients, which includes meeting and exceeding their regulatory and fiduciary duties. However, this has become a challenge for even the most well-intentioned investment advisor applicants or existing registered investment advisors due to the more demanding expectations and obligations imposed by the United States Securities and Exchange Commission (“SEC”) and state securities regulators.
 

Comprised of experienced compliance professionals from the securities industry, RIA Compliance Consultants is an investment advisor compliance consulting firm that brings to bear a wealth of experience to be your expert, on duty and on call to help you navigate the maze of compliance issues facing your registered investment advisor firm.

For new investment advisor applicants, RIA Compliance Consultants offers a turn-key registration service. Our compliance consultants can serve as your guide by explaining in detail the registration process and requirements, assisting you in structuring your firm’s investment advisory programs, preparing your investment advisor registration.

   

RIA Compliance Consultants can help your investment advisor firm keep pace with this rapidly changing compliance environment. We can collaborate with your investment advisor firm to identify regulatory challenges and then work with your investment advisory firm’s managing principal and chief compliance officer to build and implement practical solutions designed to meet your firm’s regulatory responsibilities as a registered investment advisor.

Take a few moments to look over our website, and then give us a call at 877-345-4034.

     

Annual Investment Advisor Compliance Program

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comprehensive compliance program?

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with industry experienced professionals.

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Annual Investment Advisor Compliance Program

Starting an RIA?

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while growing your new business.
 

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Navigating the Regulatory Maze

We provide a full set of compliance services for existing registered investment advisors. These investment advisor compliance services include: Form ADV; client brochure; wrap brochure; solicitor arrangements; investment advisor registration renewals and Form ADV annual amendment; IARD service bureau; code of ethics and supervisory procedures; privacy policies and procedures; advertising review; compliance training; annual review and assessment of your compliance program; and mock regulatory exams.

     
 
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* RIA Compliance Consultants, Inc. ("RCC") is not a law firm and does not provide legal services. A compliance consulting relationship with RCC is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.

The determination to use a third-party compliance services provider is an important decision and should not be based solely upon advertisements or self-proclaimed expertise. A description or indication of limitation of our compliance services does not mean that an agency or board has certified RCC as a specialist or expert in investment advisor compliance. All potential clients are urged to make their own independent investigation and evaluation of RCC.

Home
About RIA Compliance Consultants, Inc.
Our Services
   Turn-Key Investment Advisor Registration Service
  Annual Compliance Programs
  Switch an IA from SEC to State
  Code of Ethics
Compliance Tips
  Tips for Registering as a State Investment Advisor
  Form ADV Background
  Form ADV Drafting Tips
  SEC Exam Tips
Compliance Tools
  RIA Express
  Upcoming Webinars
  Recorded Webinars
  Online Store
Frequently Asked Questions
   Investment Advisor Registration FAQs
   Registration Costs
  Series 65 Examination FAQs
  Form U4 FAQs
  Private Fund Advisers Registering as Investment Advisers with the SEC FAQs
  Form PF FAQs
  Switch from SEC to State FAQs
  Solicitor Referral Arrangements FAQs
  Written Supervisory Procedures
  Codes of Ethics
  Wrap Fee Brochures
  Form 13F, Schedule 13D & Schedule 13G FAQs
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Contact RIA Compliance Consultants, Inc.
Online Invoice Payments
Newsletter
Speaker Request
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Disclosures
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Link to RIA Compliance Consultants, Inc.