RIA Compliance Consultants
Annual Compliance Program
 
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Annual Compliance Program Subscription Packages
for Your Registered Investment Advisor

Once your investment advisor firm is registered with the applicable securities regulator and has written its code of ethics and supervisory procedures, it’s critical that your registered investment advisor implement a compliance program followed by regularly assessing its effectiveness and taking any necessary corrective actions.

If your investment advisor firm would like to bundle several of the compliance services provided by our compliance consultants during a 12 month subscription period, we offer the following annual compliance program subscription packages to investment advisors.

Value Package – $135 per Month or $1,425 Annual Fee

For automatic monthly installment payments of $135 per month or an annual fixed fee of $1,425 for a twelve month subscription period, RIA Compliance Consultants offers its Value Package - Annual Compliance Program Subscription to assist and support your registered investment advisor firm with its compliance obligations. Our Value Package for a registered investment advisor typically includes the following services and compliance tools:

  • IARD Renewals – Prepare and calculate your registered investment advisor’s licensing renewals;
     
  • Form ADV Part 1A Annual Amendment – Prepare and file the Form ADV Part 1A Annual Amendment for your registered investment advisor’s fiscal year-end;
     
  • RIA Express – Compliance Review – This online tool takes you through a series of questions about your investment advisor’s disclosures, policies/procedures and actual practices; Based upon your answers, RIA Express – Compliance Review generates a written findings report and allows you to track the status of your corrective actions;
     
  • Live & Recorded Compliance Training – Unlimited attendance at live webinars or previously recorded webinars hosted by RIA Compliance Consultants or available in our archives during the term of the program;
     
  • Compliance Calendar & Reminders – Sample annual compliance calendar and general reminders of certain compliance requirements delivered periodically throughout the term of the engagement;
     
  • Sample Forms Package – You will receive an initial package and can request additional deliveries of all sample forms available through our online store during the term of the engagement. (e.g., code of ethics acknowledgement, outside business activities disclosure form, personal securities transactions report, books and records documentation log and suggested list of compliance files and reports, sample customer privacy policy notice);* and
     
  • Regulatory Notices – Compliance updates and notices provided through our newsletter and email notices.

This Value Package – Annual Compliance Program Subscription is our most cost effective program designed for the investment advisor firm that has a limited compliance budget or that believes they need only limited compliance support. The Value Package is designed for the investment adviser firm that does not believe they need the support of one of our compliance consultants but it looking to keep informed through ongoing training and wants some limited support to stay on track with ongoing compliance requirements. This package allows you to leverage the knowledge and experience of RIA Compliance Consultants through your access to an online tool to assist you with conducting a self-evaluation of your investment advisor’s compliance program.

Click here to purchase the Value Package.

Bronze Package – $170 per Month or $1,795 Annual Fee

For automatic monthly installment payments of $170 per month or an annual fixed fee of $1,795 for a twelve month subscription period, RIA Compliance Consultants offers its Bronze Package - Annual Compliance Program Subscription to assist and support your registered investment advisor firm with its ongoing compliance obligations. Our Bronze Package for a registered investment advisor firm typically includes the following services and compliance tools:

  • As-Needed Consulting – Our compliance consultants will be available on an as-needed basis for up to five (5) hours of consulting at regarding your registered investment advisor’s general compliance issues, Form ADV revisions, WSP updates, licensing, marketing material review (not performance related) and adding or terminating IARs;
     
  • IARD Renewals – Prepare and calculate your registered investment advisor’s licensing renewals;
     
  • Form ADV Part 1A Annual Amendment – Prepare and file the Form ADV Part 1A Annual Amendment for your registered investment advisor’s fiscal year-end;
     
  • Six Month Check-Up – During a telephone call lasting up to one hour, our senior compliance consultant will go through a checklist of ongoing compliance functions that should have been completed by your investment advisor firm and will discuss with you any compliance concerns;**
     
  • Live & Recorded Compliance Training – Unlimited attendance at live or previously recorded webinars hosted by RIA Compliance Consultants or available in our archives during the term of the program;
     
  • Compliance Calendar & Reminders – Sample annual compliance calendar and general email reminders of certain ongoing compliance requirements delivered periodically throughout the term of the engagement;
     
  • Sample Forms Package – You will receive an initial package and can request additional deliveries of all sample forms available through our online store during the term of the engagement. (e.g., code of ethics acknowledgement, outside business activities disclosure form, personal securities transactions report, books and records documentation log and suggested list of compliance files and reports, sample customer privacy policy notice);* and
     
  • Regulatory Notices – Compliance updates and notices provided through our newsletter and email notices.

This Bronze Package – Annual Compliance Program Subscription is designed to provide basic compliance support and training in a cost effective manner. It’s ideal for a new state registered investment advisor firm or existing registered investment advisor firm with a very limited compliance budget.

Click here to purchase the Bronze Package.

Silver Package - $225 per Month or $2,375 Annual Fee

For automatic monthly installment payments of $225 per month or an annual fixed fee of $2,375 for a twelve month subscription period, RIA Compliance Consultants offers its Silver Package - Annual Compliance Program Subscription to assist and support your registered investment advisor firm with its compliance obligations. Our Silver Package for a registered investment advisor typically includes the following services and compliance tools:

  • As-Needed Consulting – Our compliance consultants will be available on an as-needed basis for up to five (5) hours of consulting regarding your registered investment advisor’s general compliance issues, Form ADV revisions, WSP updates, licensing, marketing material review (not performance related) and adding or terminating IARs;
     
  • IARD Renewals – Prepare and calculate your registered investment advisor’s licensing renewals;
     
  • Form ADV Part 1A Annual Amendment – Prepare and file the Form ADV Part 1A Annual Amendment for your registered investment advisor’s fiscal year-end;
     
  • RIA Express – Compliance Review – This online tool takes you through a series of questions about your investment advisor’s disclosures, policies/procedures and actual practices; Based upon your answers, RIA Express – Compliance Review generates a written findings report and allows you to track the status of your corrective actions;
     
  • Live & Recorded Compliance Training – Unlimited attendance at live webinars or previously recorded webinars hosted by RIA Compliance Consultants or available in our archives during the term of the program;
     
  • Compliance Calendar & Reminders – Sample annual compliance calendar and general reminders of certain compliance requirements delivered periodically throughout the term of the engagement;
     
  • Sample Forms Package – You will receive an initial package and can request additional deliveries of all sample forms available through our online store during the term of the engagement. (e.g., code of ethics acknowledgement, outside business activities disclosure form, personal securities transactions report, books and records documentation log and suggested list of compliance files and reports, sample customer privacy policy notice);* and
     
  • Regulatory Notices – Compliance updates and notices provided through our newsletter and email notices.

In addition to the basic compliance support and resources, this Silver Package - Annual Compliance Program Subscription also provides a method for you to conduct a self-evaluation of your registered investment advisor firm’s compliance program which leverages the knowledge and experience of RIA Compliance Consultants. It’s ideal for a SEC registered investment advisor firm with modest budget for an annual review.

For more details about RIA Express – Compliance Review, click here for a pre-recorded demonstration or click here to schedule a live demonstration. Click here to purchase the Silver Package.

Gold Package - $440 per Month or $4,595 Annual Fee†

For automatic monthly installment payments of $440 per month or an annual fixed fee of $4,595 for a twelve month subscription period, RIA Compliance Consultants offers its Gold Package - Annual Compliance Program Subscription to assist and support your registered investment advisor with its compliance obligations. Our Gold Package for a registered investment adviser typically includes the following components:

  • As-Needed Consulting – Our compliance consultants will be available on an as-needed basis for up to five (5) hours of consulting regarding your registered investment advisor’s general compliance issues, Form ADV revisions, WSP updates, licensing, marketing material review (not performance related) and adding or terminating IARs;
     
  • IARD Renewals – Prepare and calculate your registered investment advisor’s licensing renewals;
     
  • Form ADV Part 1A Annual Amendment – Prepare and file the Form ADV Part 1A Annual Amendment for your registered investment advisor’s fiscal year-end;
     
  • Off-Site Annual Compliance Review – Our senior compliance consultant will conduct an annual compliance assessment and prepare a report regarding the adequacy of the investment advisor's code of ethics, compliance policies and supervisory procedures, and the effectiveness of the implementation of such policies and procedures (limited to 13 consulting hours and no forensic testing);
     
  • Live & Recorded Compliance Training – Unlimited attendance at live webinars or previously recorded webinars hosted by RIA Compliance Consultants or available in our archives during the term of the program;
     
  • Compliance Calendar & Reminders – Sample annual compliance calendar and general reminders of certain compliance requirements delivered periodically throughout the term of the engagement;
     
  • Sample Forms Package – You will receive an initial package and can request additional deliveries of all sample forms available through our online store during the term of the engagement. (e.g., code of ethics acknowledgement, outside business activities disclosure form, personal securities transactions report, books and records documentation log and suggested list of compliance files and reports, sample customer privacy policy notice);* and
     
  • Regulatory Notices – Compliance updates and notices provided through our newsletter and email notices.

The Gold Package - Annual Compliance Program Subscription provides your investment advisor firm with an offsite annual review led by a senior compliance consultant of RIA Compliance Consultants. It allows an investment advisor firm to leverage the knowledge and experience of veteran investment advisor compliance professional.

Call us at 877-345-4034 or click here to schedule an introductory call to learn more about the Gold Package. Click here for more details about the Gold Package.

† The typical fee for the Gold Package - Annual Compliance Program Subscription is $4,595 annually or $440 per month for a year. Some investment advisor firms may require more than the allotted 13 hours for the off-site annual compliance review due to the size and complexity of the investment advisor firm and the services it provides. Before purchasing the Gold Package, please contact us or schedule an introductory call for more details and to obtain an initial quote specific to your investment advisor firm.

Platinum Package – Customized Services & Fees

RIA Compliance Consultants can create and implement a customized and more comprehensive compliance program for your registered investment advisor firm. The following are services that RIA Compliance Consultants can tailor for inclusion in your investment advisor's Annual Customized Compliance Program – Platinum Package. The annual fee typically ranges from $10,000 – $24,000 annually depending upon your investment advisor firm and the services selected below. The annual fee can be billed in quarterly or monthly installments.

  • Calendar, Reminders, Checklists & Forms. Develop a pro-active compliance calendar, supervisory reminders, checklists, and forms for the purpose of executing and documenting your registered investment advisor's supervisory procedures/compliance program.
     
  • Code of Ethics & Supervisory Procedures. Prepare, modify and/or update the code of ethics, compliance policies and written supervisory procedures in conformance with the actual business model of your registered investment advisor.
     
  • Form ADV. Review your registered investment advisor firm's organizational structure, leadership, business model, investment advisory activities, activities of related persons, potential conflicts of interests, regulatory history and compliance practices. Revise and update the Form ADV of your investment advisor based on such review. Create and maintain a master log summarizing all amendments and other changes to the Form ADV of your investment advisor.
     
  • Solicitor Disclosures. Develop due diligence/supervisory procedures and documents for selection of solicitors, separate solicitor disclosure statement for referred clients, and solicitor disclosure language for Form ADV Form ADV Part 2A.
     
  • Wrap Program. Prepare or revise an Appendix 1 of the Form ADV wrap fee program brochure describing your investment advisor's wrap-fee program and any other necessary modifications or additional disclosure language to the Form ADV. Develop compliance policies and procedures for your investment advisor to supervise its wrap-fee program.
     
  • IARD Service Bureau. Handle filing amendments to Form ADV Part 1, upload of Form ADV Part 2A, Form ADV Part 2B Supplement Brochure, amendments to Form U4 and Form U5 of investment advisor representatives, state notice filings, and annual investment advisor registration renewals through the IARD/CRD systems.
     
  • IAR Registration Analysis. Study job descriptions, activities and location of associated persons of the registered investment advisor and recommend investment advisor representative registration when and where appropriate.
     
  • Annual ADV Offering & Privacy Policy Delivery. Prepare annual Form ADV offer letter and privacy policy delivery letter to investment advisory clients.
     
  • Advertising Review. Analyze proposed advertising materials (including company website) and provide written comments and revisions in accordance with the advertising standards imposed by the SEC for investment advisors.
     
  • Fee Audit. Assist in developing fee audit procedures and provide training or perform a one-time assessment of the investment advisor firm’s current fee audit process and provide recommendations for improvements.
     
  • Personal Securities Transactions. Perform a one-time assessment of the quarterly personal securities transactions and annual holding reports reviews conducted by the investment advisor firm in relation to trading recommendations, trading activity and restricted lists of your investment advisor firm. Provide recommendations for improvements.
     
  • Compliance Training. Conduct regular investment advisor compliance training for investment advisor representatives and other associated persons through on-site visits or by telephone/webinar.
     
  • Compliance Committee Meetings. Participate (via telephone) in monthly compliance committee meetings of your investment advisor.
     
  • Consulting. Provide consulting to your investment advisor regarding investment advisory compliance issues on an as-requested basis.
     
  • Annual Review/Compliance Assessment. Conduct annual compliance assessment and prepare a report regarding the adequacy of the investment advisor's code of ethics, compliance policies and supervisory procedures, and the effectiveness of the implementation of such policies and procedures.
     
  • Mock Regulatory Review. Conduct a mock SEC regulatory review of your investment advisor. Visit your investment advisor's primary office for one day. Conduct interviews of key personnel and principals of your investment advisor. Review a sampling of the investment advisory documents likely to be requested by the SEC. Prepare a written report of findings.

Please contact RIA Compliance Consultants to set up an appointment to discuss the specific compliance opportunities and challenges facing your registered investment advisor firm. We then can prepare a customized annual compliance program proposal that will meet the needs of your investment advisor firm.

For more details, please call RIA Compliance Consultants at 877-345-4034 or click here to schedule an introductory call.

* This does not include a code of ethics or supervisory procedures.

** This is not a comprehensive review of your registered investment adviser’s compliance program since it’s limited to issues disclosed by your registered investment adviser during a one-hour meeting with our consultant. This is not a substitute for our Compliance Program Assessment/Annual Review Service or Mock Regulatory Review Service.

 

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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.

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