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RIA Compliance Consultants is a team of industry experienced professionals dedicated to working with investment advisors who are also committed to implementing good compliance and risk management strategies. By working together, RIA Compliance Consultants helps investment advisors navigate the maze of investment advisor compliance regulations and find the best ways to satisfy their obligations.

Mission Statement

RIA Compliance Consultants helps investment advisors identify regulatory and risk management challenges, and then build and implement practical solutions that protect their clients and meet their regulatory responsibilities.

LinkedIn Profile Bryan Hill

Bryan Hill, President*

Bryan Hill is the founder of RIA Compliance Consultants, Inc. As President of RIA Compliance Consultants, Bryan leads a team of compliance consultants that assists registered investment advisors with meeting their regulatory obligations.

Prior to entering into private practice, Bryan served as president of an independent broker-dealer and worked extensively on investment advisory issues.  He specifically led the development of an investment advisor compliance practice group that served numerous independently registered investment advisors. His more tactical experiences include leading a team of compliance professionals that supervised the activities of 1,400 registered representatives and investment advisor representatives across the country. Serving as in-house legal counsel to a financial services company, Bryan prepared defenses to securities arbitrations, interpreted broker-dealer and investment advisor regulations, and handled regulatory investigations. These various roles within the securities industry make Bryan especially adept at understanding the challenges facing registered investment advisors and providing compliance advice that considers different perspectives.

Bryan graduated with distinction from the University of Nebraska College of Law. He has successfully completed the Securities Industry Institute at Wharton School of Business, University of Pennsylvania and passed regulatory exams including the Series 7, Series 24, Series 65, and Series 66. Bryan has earned the Accredited Investment Fiduciary® (AIF®) professional designation from Fiduciary360. He is a FINRA arbitrator and has been trained as a mediator. Before attending law school, Bryan was an assistant to a U.S. Congressman. While studying political science as an undergraduate at the University of Nebraska – Lincoln, Bryan worked as a research assistant for the Nebraska Legislative Research Division.

Jarrod JamesJarrod James, Vice President & Senior Compliance Consultant

Jarrod James serves as a Vice President and Senior Compliance Consultant for RIA Compliance Consultants, Inc.

His duties at RIA Compliance Consultants include the registration of new investment advisor firms, developing written supervisory policies and procedures and codes of ethics, reviewing advertising and sales literature, presenting compliance training for investment advisors, annual amendments, and assisting investment advisor firms with regulatory exams including the preparation of letters of response to alleged deficiencies. Moreover, a significant portion of Jarrod’s consulting practice involves working closely with a limited number of annual retainer clients of RIA Compliance Consultants by creating and implementing ongoing compliance programs for such clients. Finally, his focus on strategic planning, recruiting investment advisory firms as clients, and providing professional compliance consulting services to those clients have been instrumental in the development and growth of RIA Compliance Consultants.

Jarrod is an experienced investment advisor compliance professional. His background includes working as a Compliance Examiner for one of the largest independent broker-dealers in the country. In this role, his focus was on the regulatory responsibilities of the firm’s corporate investment advisory unit, which maintained nearly $10 billion in assets under administration and management.  Jarrod’s responsibilities also included the preparation of Form ADVs, compliance manuals, advertising reviews, compliance training seminars, and conducting audits of independent investment advisor firms operated by registered representatives of the independent broker-dealer.

Jarrod graduated, cum laude, from Northwest Missouri State University where he earned a Bachelor of Science in Government with minors in Economics and Criminal Justice while also an Academic All-Conference student-athlete.  He earned a Master of Arts in Management from the Bellevue University – College of Business.  Jarrod is a designated Investment Adviser Certified Compliance Professional® (IACCP®) and has passed the Series 7, Series 24, and Series 66 examinations.

Tammy EmsickTammy Emsick, Senior Compliance Consultant & Director of Business Development

Tammy Emsick, Senior Compliance Consultant and Director of Business Development for RIA Compliance Consultants, Inc., is in charge of the firm’s marketing and business development initiatives. She serves as a point-of-first contact for new RIA Compliance Consultants, Inc. clients. Her strong industry background is used to help determine appropriate consulting services for investment advisor firms based on their unique, individual circumstances. Tammy is also responsible for coordinating and organizing compliance webinars hosted by RIA Compliance Consultants, Inc. and publishing the firm’s newsletters and blogs.

Before assuming the role as Director of Business Development, Tammy’s prior experience with at RIA Compliance Consultants concentrated on registering new investment advisor firms, developing written compliance programs and codes of ethics, conducting mock SEC and state regulatory examinations, assisting investment advisor firms with regulatory exams and presenting compliance training for investment advisors.

Tammy is an experienced securities industry professional. Her career in the securities industry began over 20 years ago. During this tenure, Tammy has successfully passed the Series 7, Series 24, and Series 66 examinations and held various leadership roles in compliance and operations.

Since approximately 1996, Tammy has concentrated upon compliance issues related to the investment advisory rules issued by the U.S. Securities and Exchange Commission and state securities regulators. In particular, Tammy has served as the RIA Compliance Director of one of the largest independent broker-dealers in the country. In this role, Tammy was responsible for compliance matters and documentation development for the firm’s corporate investment advisor, which maintained over $10 billion in assets under management and administration and had over 800 investment advisor representatives.

In addition to her compliance work with the corporate investment advisor of the independent broker, Tammy also led the development of a compliance consulting group that assisted independent investment advisor firms that were operated by registered representatives of the independent broker-dealer. In this capacity, she and her staff consulted with over a hundred independent investment adviser firms on various regulatory issues, prepared regulatory documents such as Form ADVs and compliance manuals, and administered IARD accounts. Finally, Tammy developed and taught investment advisory compliance training seminars, conducted investment advisory audits of independent investment advisor firms operated by registered representatives of the independent broker-dealer, and assisted these independent investment advisor firms with the preparation for regulatory audits and providing responses for such audits.

Tom ZielinskiTom Zielinski, Senior Compliance Consultant

Tom Zielinski serves as a Senior Compliance Consultant for RIA Compliance Consultants, Inc.

His compliance consulting practice at RIA Compliance Consultants includes registering new investment advisor firms, developing written supervisory policies and procedures and codes of ethics, reviewing advertising and sales literature, presenting compliance training for investment advisors, preparing annual amendments, and conducting compliance reviews.

Tom is an experienced securities industry professional. His career in the securities industry began over twenty-five years ago. During this tenure, Tom has successfully passed the Series 4 (Registered Options Principal), Series 7 (General Securities Representative), Series 24 (General Securities Principal), and Series 27 (Financial and Operational Principal) examinations and helped build the compliance functions of three nationwide financial services firms from the ground floor.

Since approximately 1987 Tom has concentrated upon compliance issues related to the rules issued by the U.S. Securities and Exchange Commission, self-regulatory organizations and state securities regulators. In particular, Tom has served as the chief compliance officer of a national clearing broker-dealer and two separate independent broker-dealers and their related investment advisory firms. In addition he has held the role of vice president of risk management for a national broker-dealer and investment advisory firm. In these roles, Tom was responsible for all compliance and regulatory matters along with the creation and documentation of the compliance programs. He has gained extensive experience with the securities industry regulators through researching, negotiating and responding to regulatory requests and investigations. During his career, Tom has had the honor of working with and mentoring a number of compliance professionals that now work with broker-dealers and investment advisors across the country.

Tom has a bachelor's degree in business administration from the University of Nebraska at Omaha majoring in accounting and banking and finance.

Teresa O'GradyTeresa O'Grady, Consultant

Teresa O’Grady joined RIA Compliance Consultants, Inc. in 2016 as a Consultant. She is responsible for new investment advisor registrations, preparing and amending compliance manuals, email review, annual compliance reviews and any additional items necessary to help develop and assist investment advisor firms and representatives in meeting their regulatory obligations.

Teresa began her career in the financial services industry in 1989, when she joined one of the largest national clearing broker-dealers as a Mutual Fund Analyst. There she started the Mutual Fund Department, which has now grown exponentially in size. She went on to become a Regional Supervisor at a national broker-dealer and investment advisory firm in 1992, where she was responsible for all facets of compliance and supervision for approximately 150 registered representatives all across the US. In 1999, she continued her compliance career taking a position as a Compliance Analyst at a long standing introducing broker-dealer firm, which in part was eventually acquired by a Nebraska-based broker-dealer and investment advisory firm headquartered in Lincoln, NE. Teresa was asked to join the new firm in 2005 as a Compliance Manager, after helping to wind down and eventually close the former company. She was promoted to Senior Compliance Officer in 2015. Her duties included employee on-boarding and training; managing all facets of the systems and filings for the U.S. Securities and Exchange Commission, FINRA, MSRB and state regulators; handling all daily compliance issues with resolution; subpoenas, complaints and document requests; employee trading; email review; regulatory and firm element continuing education; advertising/correspondence/qualified plan presentation review ; books and records retention and storage; WSP policy updates, management and dissemination; supervision of insurance licensing, trade review and internal audits; and many other tasks for the broker dealer, the registered investment adviser, the public finance department and the retirement plans business units.

Teresa has taken and passed the Series 7 (General Securities Representative), Series 24 (General Securities Principal), Series 53 (Municipal Securities Principal), Series 63 (Uniform Securities Agent State Law), Series 65 (Uniform Investment Adviser Law), Series 66 (Uniform Combined State Law) exams. She has also earned the Series 79 (Investment Banking Representative) and Series 99 (Operations Professional) exams.

Teresa received Employee of the Year awards in 2012 and 2015 at her former employer. She is a member of the SIFMA Compliance and Legal Division and the National Association of Professional Women. She is a team player and very excited to join the RIA Compliance Consultants team.

Amanda ErwinAmanda Erwin, Compliance Specialist

Amanda Erwin serves as a Compliance Specialist for RIA Compliance Consultants, Inc. She assists the Senior Compliance Consultants with day-to-day operations, including but is not limited to, document drafting, annual amendments, submission of regulatory documents, and client communications.

Amanda became a Certified Paralegal in 2013. Her education includes a Bachelor of Arts degree in Communication Studies from the University of Nebraska at Lincoln and an Accelerated Paralegal Certificate from Metro Community College. She brings superior skill and experience with communications, document management, and customer service.

Melanie HowardMelanie Howard, Compliance Specialist

Melanie Howard serves as a Compliance Specialist for RIA Compliance Consultants, Inc. She assists the Senior Compliance Consultants with day-to-day operations, including but is not limited to, document drafting, annual amendments, submission of regulatory documents, and client communications.

Melanie has 16 years of experience serving as a paralegal. In 2000, she received a Bachelors of Science degree in Paralegal Studies from the University of Great Falls, Great Falls, MT, an ABA accredited program. She is currently working towards her Investment Adviser Certified Compliance Professional® (IACCP®) program designation. Melanie has worked in numerous legal fields including criminal, civil and immigration law in both Montana and Nebraska. She brings a diverse experience in multiple state and federal filings, as well as database management and excellent client relations.

Grant Parr, Compliance and Marketing Specialist

Grant serves as a Compliance and Marketing Specialist for RIA Compliance Consultants, Inc. He researches investment adviser rules, enforcement actions and regulatory practices and translates the latest investment adviser compliance trends into educational newsletter articles, sample disclosure language and forms, checklists and audit questions. Additionally, Grant manages the firm's marketing and social media strategies.

Grant graduated from Northwestern University in 2015 with a Bachelor of Arts degree in Political Science and Italian. He has an eclectic set of skills he uses to come up with creative marketing concepts and solutions.


* Nature of a Consulting Relationship – Not a Law Firm

Although RIA Compliance Consultants, Inc. (“RCC”) is an affiliate of a law firm and RCC may have an individual on its staff that is also licensed as an attorney providing legal services in a completely separate capacity, RCC is not a law firm or an attorney and does not provide legal services or legal advice.

In general, a licensed attorney is regulated by his or her state supreme court through the use of rules of professional conduct, minimum education and examination requirements and a disciplinary process. Unlike a client of an attorney, a client of RCC will not receive the advantages of such regulatory oversight since the compliance consultant occupation is not licensed by state government.

A compliance consulting relationship with RCC is not provided those legal and professional protections that normally exist under an attorney-client relationship such as the following: (a) privileged communication between an attorney and client; (b) the requirement for an attorney to use a client trust account for safekeeping of fees paid in advance; or (c) prohibitions preventing an attorney from having impermissible relationships with clients, representing other persons with conflicting interests, receiving referral fees from third-party vendors, or prospectively limiting liability for malpractice through a contractual provision in a client agreement.

In the event that a securities regulator has initiated an enforcement proceeding claiming an individual or entity has violated the applicable law, such individual or entity will need to retain legal counsel to represent the individual or entity before the securities regulator. Although RCC may serve as an expert regarding industry practices, RCC is not a substitute for engaging appropriate legal counsel to represent such individual or entity.

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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