Testimonials

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:

– “Timely and accurate responses.”

– “Timely and very efficient.”

– “Teresa O’Grady is a great resource. I rely on your company for many compliance issues.”

– “Very prompt with responding to questions and inquiries.”

– “Quick response times, providing clarity and expertise. Giving the ultimate decision for us to decide what is best with all known information gives me a sense of flexibility. The provided templates are a huge help too. There are hundreds of resources out there at our disposal to use and that helps a lot!”

– “Jarrod has been a tremendous resource for our firm acquiring a tax practice.”

– “They have exceeded my expectations. I had a different consultant previously. They are very prompt and thorough in their responses and assistance.”

– “Fees are reasonable. They provide a regular and relevant seminar series. Compliance checklists are kept up to date and relevant.”

– “Teresa O’Grady always answers my calls, she explains what needs to happen for the business to get done whatever I need done, and the work always gets done in a timely manner. I’ve been using RIA Compliance for over a decade and they have my business for life.”

– “Besides everything — he is easy to work with, cares tremendously, able to break down complex issues so I can understand them, knowledgeable and able to apply that to my situation.”

– “Very quick and thorough follow-up.”

– “Response times, great guidance, nothing is too much effort for Teresa and her team.”

– “Handles annual filings and ad hoc filings efficiently and accurately. Provides substantial compliance content via webinars, live and recorded.”

– “Responsive and professional.”

– “Helps keep us on track with our compliance needs. Makes us aware of requirements for different states we do business in.”

– “Very knowledgeable, is available to answer my questions. Was very helpful to me when I was going through my first state exam.”

– “Very attentive of the needs of a small RIA like us and great response time. Jarrod James has been there for us from day one.”

– “Responsive, timely, knowledgeable.”

– “Very responsive and answers questions thoroughly. Knowledgeable and reliable.”

– “Responsive, knowledgeable, good webinar content.”

– “Clear and direct guidance on what I should or should not be doing.”

– “Detail oriented. Extremely responsive.”

– “RCC is a team of educated and resourceful individuals who provide in-depth and timely responses.”

– “Is able to communicate effectively the nuances of the multitude of regulations to me and what I need to be doing to ensure we are in compliance.”

– “Very responsive to our questions, professional, easy to work with.”

– “Understanding the rules and assisting our firm in implementing them.”

– “Great client service.”

– “They promptly respond to my questions.”

– “Everything — service cost is reasonable, quick to respond to questions, monthly compliance and webinars, forms, etc. RIA provides everything that I need to help me remain compliant with the SEC.”

– “We are notified in plenty of time when compliance is due, so I don’t worry. Quick to respond if I have questions or need help. Information on the portal is very helpful.”

– “Jarrod James and his team members are responsive and address any concerns I have in a timely manner.”

– “Tom Zielinski is awesome. Always super helpful. The webinars are great as well.”

– “Jarrod has been great to work with and very helpful in responding to our questions.”

– “Jarrod is timely with his responses to our questions and thorough with his answers.”

– “Very responsive to calls and emails, easy to navigate website, lots of relevant content.”

– “Teresa is amazing and just what we needed in this arduous process. She is available, responsive, amazing at answering all our questions, patient, you name it. I am a giant RCC and Teresa fan. She deserves huge praise.”

– “Tom knows everything about SEC/IARD!”

– “They are knowledgeable in all areas I’ve consulted with them and very responsive to inquiries.”

– “Timely and informative responses. Regular webinars are also great and very helpful.”

– “Knowledgeable consultants, love the annual ADV help, Jarrod is always prompt in his responses. He also always seems to try and teach as well as get me answers. This helps me be more effective in my role.”

– “Rapid response with clear explanations. Attention to detail.”

– “Provide great orientation, clarify doubts on how to proceed, clarify doubts on what may apply to our specific firm given the requested information, stay sharp on all RIA needs.”

– “Communicate. Help with any questions or concerns I have. Jarrod is helpful and responsive.”

– “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!”