Annual Compliance Program Service
for Newly Registered Investment Advisor

Once your investment advisor 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 start implementing its compliance program.

For a fixed consulting fee starting at $1,795, RIA Compliance Consultants offers its Annual Compliance Program Service to assist and support a newly registered investment advisor in this obligation. Our Annual Compliance Program Service for a newly registered investment adviser typically includes the following components:

• Chief Compliance Officer Training – Introductory investment advisory compliance training for your new CCO;
   
• Code of Ethics Training – Basic training regarding the code of ethics for your associated persons of your registered investment advisor;
   
• Ongoing Compliance Training – 12 complimentary seats to webinars hosted by RIA Compliance Consultants;
   
• Sample Documents –Sample documents such as a receipt form for the code of ethics, outside business activities disclosure form, personal securities transactions report, list of required books and records, customer privacy notice and customer Form ADV offer letter;*
   
• Compliance Calendar & Reminders – Sample annual compliance calendar and general reminders of certain compliance requirements delivered via email on monthly basis;
   
• Six Month Check-Up – A review of your registered investment advisor’s implementation of its code of ethics and compliance program during a one-on-one meeting with our compliance consultant; **
   
• As-Needed Consulting – Our compliance consultants will be available for consulting regarding your registered investment advisor’s compliance issues on an as-needed basis for a specified number of hours;
   
• IARD Renewals – Prepare and calculate your registered investment advisor’s licensing renewals; and
   
• 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.

This service is designed to provide basic compliance support in a cost effective manner. It’s ideal for a new state registered investment advisor or SEC registered investment advisor with a very limited compliance budget. For more details and a customized quote, please call RIA Compliance Consultants at 877-345-4034.

Starting an RIA? Utilize our expertise to leverage your time while growing your new business.

Need help implementing an ongoing and comprehensive compliance program? Outsource the heavy lifting by partnering with industry experienced professionals.