Frequently Asked Questions
2019 Investment Adviser Compliance Conference

  • Overview
    • Come to Omaha, which, honestly, “it’s not for everyone,” for compliance education, training, and peer interactions.

      Join RIA Compliance Consultants for our 2019 Investment Adviser Compliance Conference where our compliance consultants will address how investment adviser firms can successfully navigate the regulatory maze and adopt appropriate procedures for their compliance programs.

      attendee comments

      Absolutely informational! – 2018 Conference Attendee

      Great venue. RCC consultants are extremely knowledgeable. – 2018 Conference Attendee

      I’m bringing my whole compliance team next year. – 2018 Conference Attendee

      who attends

      Conference attendees have included:

      • Chief Compliance Officers / Investment Advisers / General Counsels
      • Managing Directors /Operations Officers
      • State registered RIAs/ SEC Registered RIAs
  • Venue
    • Scott Conference Center

      Address6450 Pine St, Omaha, NE 68106

      B2B Omaha’s Best Business Conference Center 2011-2017

      Nearest Airport: Omaha Airport, Eppley Airfield (OMA)

  • Agenda and Speakers
  • Cost
    • $395 per attendee for both days of the conference.

      *Attendees have to be affiliated with an investment adviser firm and cannot be a vendor.

      Refund Policy:

      25% before August 11; and

      0% on August 11 and after.

  • Register Now


  • LiveStream
    • Can’t make it to Omaha for our 2019 Investment Adviser Compliance Conference? Breathe easier. RIA Compliance Consultants will live stream each session from Thursday, Sept 12, 2019. For $345 you will receive access to the live stream of Day 2 of our conference. Topics will include:

      • ADV 3 Pointers – Expert Guidance for Preparing ADV Part 3
      • Dis-Close to Deficiencies – Disclosing and Supervising Investment Advisory Fees and Expenses
      • Yes, It Can Happen to You – Risks of Arbitration
      • Not All Heroes Wear Capes – How to be an Effective Chief Compliance Officer
      • Vigilance, Due Diligence, Persistence – Cybersecurity Panel
      • Disclose Disclose Disclose (and Mitigate)! – Conflicts of Interest Disclosures
      • Failing to Prepare is Failing – Readiness & Preparing for Regulatory Examinations
      • General Compliance Q & A Session with RCC Compliance Consultants

      You will be able to submit questions that our consultants will answer during the General Compliance Q&A Session.

      Click here to register for the LiveStream.

  • Hotels
    • Courtyard by Marriott – 1625 South 67th Street, Omaha, NE 68106, (402-951-4300), is one block from the Scott Conference.

      • Rate: $129/Night
      • Booking Link:
      • Website rates will reflect higher than the discount rate.  When booking online, you will need to call the Courtyard by Marriott directly at 402-951-4300 and let them know you are attending a conference at the Scott Conference Center in order to reserve your room at the discounted rate of $129/night.  Reserved rooms are not held under RIA Compliance Consultants.
      • No Hotel Shuttle
      • Breakfast Options Available (Additional Charge)
      • Free WIFI

      The Hampton Inn – Aksarben – 1401 South 72nd Street, Omaha, Nebraska, 68124, (866-238-4218), is approximately ¾ of a mile from the Scott Conference Center.

      Hilton Garden Inn – 6737 Frances Street, Omaha, NE 68106 (402-334-4441), is approximately 3 blocks from the Scott Conference Center.

  • Aksarben Village
  • Photos of Last Year's Conference