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RIA Compliance Consultants, Inc. provides consultations, tools, training and a compliance community for registered investment advisor firms.  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.

Our investment advisor compliance services include: Form ADV; Form U4 & Form U5; client brochure; wrap brochure; 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 compliance training and continuing education; advertising review; compliance training; annual review and assessment of your compliance program; and mock regulatory exams.

Most registered investment advisor firms (also known as “registered investment advisers” or “RIAs”) want to provide the best possible investment advice and advisory services to their clients, which includes meeting and exceeding their regulatory and fiduciary duties. However, this has become a challenge for even the most well-intentioned investment advisor applicants or existing registered investment advisors due to the more demanding expectations and obligations imposed by the United States Securities and Exchange Commission (“SEC”) and state securities regulators.

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

We started as a sole proprietorship in 2004 and have assisted well over a thousand investment advisers.  Comprised of experienced compliance professionals from the securities industry, RIA Compliance Consultants is an investment advisor compliance consulting firm that brings to bear a wealth of experience to be your expert, on duty and on call to help you navigate the maze of compliance issues facing your registered investment advisor firm.

We love helping our investment advisor clients with compliance and believe only through a great compliance program can an investment advisor truly meet the best interests of its clients.  RIA Compliance Consultants can help your investment advisor firm keep pace with this rapidly changing compliance environment. We can collaborate with your investment advisor firm to identify regulatory challenges and then work with your investment advisory firm’s managing principal and chief compliance officer to build and implement best practices with the goal of helping your investment advisor firm’s regulatory and fiduciary responsibilities as a registered investment advisor.

Turnkey investment advisor compliance program

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Recent Blog Posts

Regulatory Alert – SEC Amends Reg S-P

The U.S. Securities and Exchange Commission (SEC) has adopted amendments to Regulation S-P which require investment adviser firms registered with the SEC to adopt written policies and procedures for incident response programs to address unauthorized access to or use of customer information including procedures for providing timely notification to customers affected by an incident involving sensitive customer information.

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2024 SAA Certification Entitlement

The FINRA 2024 Entitlement Certification period will begin on Monday, April 15. This is when FINRA begins requiring all Super Account Administrators (“SAA”) to certify the other administrators and users with accounts on the IARD/Web CRD system. The SAA for your investment adviser firm has the ability to create/delete other administrators and user accounts. An administrator can create/delete user accounts. For more information about the importance and responsibilities of the SAA, see the following website: https://www.finra.org/filing-reporting/entitlement/super-account-administrator-saa

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