Take a look at our website and give us a call at 877-345-4034 ext. 1.

About Us

Since 2004, our firm has proudly supported over a thousand investment adviser firms, offering experienced, personalized compliance consulting. Independently owned and operated, we are free from the external pressures of being owned by a private equity fund, allowing us to focus solely on what matters most: providing high-quality compliance advice tailored to the unique needs of each investment adviser that we serve.

Our team of seasoned compliance professionals brings decades of experience from within the securities industry, making us your dedicated experts—available and ready to assist your investment adviser firm in navigating the complexities of regulatory compliance. Unlike some competitors who prioritize selling technology solutions and merely providing rules without context or guidance, we take a different approach. We go beyond the basics, offering customized compliance guidance that not only clarifies the rules but also considers your firm’s specific circumstances, incorporating best practices to help you maintain a strong compliance posture. We provide you the answers you need to know so that you can make informed and appropriate compliance decisions.

We believe that a robust compliance program is essential for an investment adviser firm to truly serve the best interests of its clients. That’s why our consultants are available to collaborate closely with your firm’s managing principal and chief compliance officer to identify regulatory challenges and develop tailored solutions that align with your firm’s regulatory and fiduciary responsibilities.

Our mission is not driven by maximizing our owner’s returns but by delivering exceptional compliance advice that helps your firm stay ahead of the constantly evolving regulatory environment. At our core, we are committed to providing an independent, customized approach to compliance that empowers investment advisers to meet their obligations with confidence and integrity.

Our Services

We provides consultations, tools, training and a compliance community for registered investment advisor firms (“RIAs”) related to the requirements of the United States Securities and Exchange Commission (“SEC”) and state securities regulators.  We are passionate about helping investment adviser firms build and maintain robust investment advisor compliance programs so that they can do the right things for their clients.

For new investment advisor applicants, RIA Compliance Consultants offers a turn-key investment advisor 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.

An existing investment advisor firm can utilize our compliance services through one of our Annual Compliance Program packages or on a la carte basis. In particular, we can assist with the following: Form ADV; Form U4 & Form U5; client brochure; wrap brochure; promoter/solicitor arrangement and disclosure; investment advisor registration renewals and Form ADV annual amendment; IARD service bureau; code of ethics and supervisory procedures (“compliance manual”); privacy policies and procedures; chief compliance officer training; investment adviser representative continuing education; review of marketing materials including third-party ratings, testimonials/endorsements and performance advertising; annual compliance training for the a firm; annual review and assessment of your compliance program under Rule 206(4)-7; and mock regulatory exams.  Most importantly, our senior compliance consultants are here to answer compliance questions and provide regulatory guidance to our clients.

Why RIA Compliance Consultants?

At RIA Compliance Consultants, we aspire to be a valuable resource and unwavering support system for your investment advisor’s internal compliance program. We understand that one of the most common challenges faced by investment advisors is the feeling of “I don’t know what I don’t know.” That’s where we can assist you.

Our mission is to empower and educate your compliance team about the ever-evolving landscape of investment advisory regulations, industry trends, and the critical areas of regulatory scrutiny. We are here to bridge the knowledge gaps so that your firm can face regulatory examinations with confidence when you receive that examination notice. Our goal is to not only assist but also enhance and fortify your investment advisor firm’s compliance culture.

What Sets RIA Compliance Consultants Apart?

When it comes to finding compliance support for your investment advisor firm, you have a multitude of options.  At RIA Compliance Consultants, we focus exclusively on serving investment advisors and personally sharing our knowledge of and experience with the SEC and state securities regulator with our clients.

Our strength lies in the extensive experience of our team and our personalized approach to client engagement. We do not believe in providing you with a one-size-fits-all technology tool; instead, we offer a tailored, one-on-one consulting experience. Each client is assigned to one of our seasoned senior compliance consultants who gets to know your firm and its business model. To learn more about the experience levels of our Senior Compliance Consultants, please refer to the “Our Staff” webpage.

While we do provide a range of educational resources, including sample forms, checklists, and webinars, available for individual purchase or as part of our Annual Compliance Program packages, our true value lies in our one-on-one consultative approach. Our senior compliance consultants won’t just point you to a rule or checklist and leave you to decipher its application to your unique situation. You can present your questions or concerns to your assigned senior compliance consultant, and they will promptly offer tailored advice based on your investment adviser firm’s specific facts and circumstances.

What Do Our Clients Think?

In an anonymous survey conducted among our existing clients, we asked, “What does RIA Compliance Consultants do well?” The following are some of the responses that highlight what sets us apart from other consulting firms.

– “They always communicate and get back to you. Great advice.”

– “Webinars, Education, Response Time, Clarity.”

– “They’re very responsive to questions or needs. They are knowledgeable. They help you think through the pros/cons when there is wiggle room in a situation.”

– “Communicate and responsive.”

– “Takes time to explain concepts and helps us follow through to completion.”

– “Responsiveness to our compliance questions and CCO training.”

– “Quick responses with clear answers.”

– “They are thorough, answer every doubt, and are on top of things.”

– “They respond quickly to our questions and inquiries and are easy to work with.”

– “Responsive to questions, proactive with education about new regulations, sample documents.”

– “I know I can depend on them to keep me up-to-date with my compliance. Response to questions is very quick.”

– “Responds quickly and thoroughly to my requests for guidance. Provides helpful reminders and complete instructions annual IARD renewals. Offers a variety of sample forms.”

– “Personable and very knowledgeable people, seem to genuinely want to help.”

– “Keeps us informed!”

Please understand that certain clients have experiences which vary from the examples listed above.

We take pride in delivering exceptional service and ensuring that our investment advisor clients receive the guidance and support they need to navigate the complex world of compliance effectively.  If you’d like to learn more about our services and how we may help your firm, please contact us at 877-345-4034 ext. 1.

Featured Products