Conference – RIA Compliance Connection

2021 RIA Compliance Conference

  • Overview
    • August 25 & 26, 2021

      Join RIA Compliance Consultants on Wednesday, August 25 and Thursday, August 26, 2021 for our Investment Adviser Compliance Conference.

      Due to the COVID-19 pandemic, the conference will be available virtually through Zoom. There is not an in-person attendance option like past years.

      Despite no in-person attendance option, the online conference will be structured to promote peer-to-peer networking and sharing through online breakout group over RIA Compliance Consultants recommends that you access the online conference through a device with a video camera so you have the option of letting others see you, but that is not a requirement.

      who attends

      Conference attendees have included:

      • Chief Compliance Officers /General Counsels
      • Managing Directors /Operations Officers
      • Leaders of State & SEC Registered RIAs
  • Register Now
    • To register please click here!

  • Agenda and Speakers
  • Scholarship for College Students
    • Click the following link to download the 2021 Scholarship Application Scholarship Application to Attend 2021 Investment Adviser Compliance Conference 

      RIA Compliance Consultants is pleased to announce Gianluca Cocito-Monoc as the winner our our 2020 Conference Scholarship, which will be presented at “RIA Compliance Connection 2020.” Gianluca is a second-year law student at Tulane Law School in New Orleans and earned his undergraduate degree from Tulane’s A.B. Freeman School of Business. This summer, he worked with the Chief Compliance Officer at an RIA firm in Louisiana that advises high net-worth individuals, retirement plan sponsors, and non-profit endowments and foundations. After his first project, he was fascinated by the complexity of the regulations governing RIAs, especially in the 401(k) space. Gianluca has his eyes set on working in either New Orleans or Washington, DC at a corporate law firm post-graduation.

      Congratulations, Gianluca!


  • Compliance Professional of the Year
    • Anyone who has ever worked in compliance understands that compliance professionals play a critical role that is often overlooked. In an effort to recognize the hard work of so many dedicated compliance professionals RIA Compliance Consultants (RCC) is proud to offer our Compliance Person of the Year Award. This honor will serve to recognize the best of the best within the ranks of investment adviser compliance.

      In choosing the recipient, several things will be considered, including years of experience, leadership, character, and a great compliance program. The winner of the Compliance Professional of the Year Award will be announced during RIA Compliance Connection 2021, our annual investment adviser compliance conference hosted on August 25 and 26, 2021 through Zoom.

      The winner of the award will receive a complimentary seat to RIA Compliance Connection 2021. RIA Compliance Consultants will also donate $500 to a charity of the Compliance Professional of the Year’s choosing.

      RIA Compliance Consultants is now accepting applications for the Compliance Professional of the Year. You can nominate yourself or someone you think exemplifies a true compliance professional. All applications must be submitted no later than July 15, 2021.

      Click the following link to download the application 2021 Compliance Professional of the Year Application

  • Apply to be a Speaker on one of our Conference Panels
  • Conference Sponsors
    • Unitifi Financial Behavior




      Lockton Affinity









      Bridge Financial Technology

  • Cancellation Policy, Terms & Permission to Email
    • By purchasing attendance to the 2021 RIA Compliance Connection you are agreeing to our Terms, Conditions, and Cancellation Policy. You may cancel your attendance for the conference by notifying RIA Compliance Consultants by emailing by August 5, 2021. Cancellations prior to this date will be refunded in full (less a 3.2% credit card processing charge). Cancellations after August 5, 2021 are non-refundable.

      You may transfer your registration to another person in your company or organization by August 23, 2021 by Reselling 2021 RIA Compliance Connection Conference registrations is prohibited. Each 2021 RIA Compliance Connection participant must have their own registration and not attend through another participants conference link.

      RIA Compliance Consultants, Inc. reserves the right to make any changes it deems necessary to the conference agenda. We will make reasonable efforts to retain presentation topics. However, unforeseen circumstances may result in the substitution of a presentation topic or speaker. Substitutions or changes of topics or presentations will not be considered a valid reason to request refunds.

      We, in our discretion, and without any liability or obligation to refund, reserve the right to refuse participation to or to remove access to 2021 RIA Compliance Connection to anyone that we determine is in violation of our Code of Conduct.

      By registering for the 2021 RIA Compliance Connection conference, you agree to receive email notifications from RIA Compliance Consultants, Inc. regarding this event and communications associated with products and services offered by our conference sponsors, Strategic Alliance Members, and Strategic Provider members.  At any time, a recipient can remove themselves from receiving such communications by employing the “unsubscribe” functionality in any email received or by email At no time will RIA Compliance Consultants, Inc. sell your personal information.

      RIA Compliance Consultants Inc. assumes no liability for the acts of the 2021 RIA Compliance Connections Conference participants. Conference attendees will have knowingly assumed any risks from attending this conference. In order to ensure your experience is adequate, you must have a high speed internet connection in order to access the virtual event and services. When accessing through a mobile network, your network or roaming network will apply fees for data usage. Participants are required to use a webcam, cellphone camera, or video camera to participate in the conference. Attendance with only the use of audio will not be permitted unless RIA Compliance Consultants, Inc. has granted pre-approval. All attendees will be required to go through a registration process prior to being allowed to access the 2021 RIA Compliance Connection live meeting link. A registration window will be open no later than the day prior to the event. RIA Compliance Consultants, Inc. encourages all attendees to register the day prior to the conference. Participants not able to register the day before the event should make sure to login and register early on day one of the 2021 RIA Compliance Connection conference. RCC will not be responsible for a participant’s inability to access the live meeting at the beginning of the day if the participant did not allow enough time for the registration process prior to the conference starting.

      All intellectual property rights to the event, the content, services, and all materials distributed at or in connection with 2021 RIA Compliance Connection are owned by RIA Compliance Consultants and/or the conference sponsors, Strategic Alliance Members, Strategic Providers or speakers participating. You agree not to reproduce, modify, distribute, license, perform, publish, create derivative works from or use for the purposes of selling. You acknowledge and agree that views expressed by speakers or other participants at or in connection with the 2021 RIA Compliance Connections are their own and we do not accept any responsibility or liability for any advice given or views expressed during or in connection with the event. Copying or distributing any part of the event websites in any medium without our prior written consent; and modifying, creating derivative works or copying or storing any significant portion of the website or event or any related technology (unless allowed by law or we expressly authorize) is prohibited.

      2021 RIA Compliance Connection may contain links to third parties and to contributions uploaded by participants, including videos, images, descriptions, links and other content. We are not responsible or liable to these third party sites, and you should review any terms and conditions when entering those sites or viewing their content. Conference participants are responsible for doing their own due diligence to determine if any sponsor, Strategic Alliance Members, or Strategic Providers are a good fit for them and will meet the needs of the participant’s firm.

      When accessing the 2021 RIA Compliance Connection, all individuals and companies are prohibited from harvesting, gathering or sharing private information from the conference, services or accounts of its users without consent, nor use manual or automated software, devices or other means or processes to access, scrape or crawl the event platform or any content or information contained in it. It is prohibited to compromise the security of the event services such as transmitting viruses, malware or destructive code, or computer viruses, macro viruses, Trojan horses, worms or anything other harmful activity.

      It is strictly forbidden for any company, organization, or person to attempt to host or organize any event in conjunction with, contiguous to or purporting to be related to the 2021 RIA Compliance Connection without the express prior permission and cooperation of RIA Compliance Consultants, Inc.

      RIA Compliance Consultants, Inc. reserves the right to use photographs and recordings of any 2021 RIA Compliance Connection attendee in promotional materials.

      Sessions may be audio recorded without special permission. They may be placed online or transmitted to others without permission.

      For any question, concern or issue related to the 2021 RIA Compliance Connection please email

  • Code of Conduct
    • RIA Compliance Consultants is committed to providing a welcoming, harassment-free 2021 RIA Compliance Connection for everyone, regardless of gender, sexual orientation, disability, physical appearance, age, race, ethnicity, or religious beliefs.

      By participating in the 2021 RIA Compliance Connection Conference, all attendees, speakers, sponsors, Strategic Alliance Members, and Strategic Providers, and staff must abide by the following Code of Conduct. This Code of Conduct applies to all 2021 RIA Compliance Connection, sessions, social events, and online activity, and outlines our expectations for participant behavior, as well as the consequences for unacceptable behavior.

      1. Respect others.

      Demeaning, discriminatory, intimidating, harassing or abusive or harassing behavior and speech will not be tolerated. Harassment may include but is not limited to: offensive verbal, written or electronic comments related to gender, sexual orientation, race, religion, disability; nudity and/or sexual images in public spaces (including presentation slides); deliberate intimidation, stalking, or following; harassing, photography, or recording; sustained disruption of sessions, talks, or other events; inappropriate physical contact, and sexual attention.

      2. Be Truthful, Forthright and Authentic

      Attendees are required to register with their true name and identity, without mimicking the likeness of anyone other than themselves. Login information must not be shared or used for attendees other than the original registrant.

      Any attendee, RCC employee, speaker, sponsor, Strategic Alliance Member or Strategic Provider who does not abide by this Code of Conduct may be asked to leave the conference at the discretion of the event organizers. In the case that an attendee is expelled, refunds will not be granted.

      How to report a violation.

      If you become aware of this Code of Conduct being violated in any way, or have other concerns, please contact a RIA Compliance Consultants employee or email Please, report anyone who has violated this Code of Conduct. If you have been made uncomfortable someone else has been made uncomfortable.