Investment Advisor Resources

The following website links listed below are offered solely for convenience and informational purposes. Once you click upon one of these links listed below, you will leave our website. RIA Compliance Consultants has not evaluated or approved of the content or services found on these linked websites. The underlying firms and organizations holding out these websites are not endorsing, affiliated with nor supervised by RIA Compliance Consultants.

U.S. Securities and Exchange Commission

• SEC – Home Page
• SEC – Information for Funds & Advisers
• SEC – Proposed Rules
• SEC – Final Rules
• SEC – Interpretative Releases
• Securities Lawyer’s Deskbook

State Regulators

• Links to all Fifty States

IARD
Investment Adviser Registration Depository – Electronic Filing System

• IARD – Main Site
• IARD – IARD Account Login
• IARD – CRD Account Login
• IARD – ePay

Series 65 Exam – Opening Window

• Form U10

Series 65 Exam – Scheduling Test Date

• Center Location List
• Thomson Prometric Testing Center
• Pearson Professional Center

Entity Formation

Transition Support

• Laser App Software – Completing Client Forms

Errors & Omissions Insurance

• CalSurance
• Chubb
• The Cambridge Alliance
• Fox Point Programs
• NAPLIA
• ProSurance Group
• Theodore Liftman Insurance, Inc.

Background Checks

• Investment Advisor Search
• CFP Search
• NASD Broker Check

Professional Associations & Networks

• AICPA Personal Financial Planning (PFP) Center
• Center for Fiduciary Studies
• Certified Financial Planner Board of Standards
• CFA Institute
• Fee Advisors Network
• Financial Planning Association
• Financial Services Institute
• Investment Adviser Association
• Investment Company Institute
• Investment Management Consultants Association
• North American Securities Administrators Association (NASAA)
• National Association of Insurance and Financial Advisors (NAIFA)
• National Association of Personal Financial Advisors (NAPFA)
• Paladin Registry
• Securities Industry and Financial Markets Association
• The American College

Voting Proxy Services

• Proxy Governance
• Institutional Shareholder Services

Portfolio Software

• Albridge Solutions

Email Compliance

• Spam Soap

Marketing

• GoldMail
• Infusionsoft

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