For 12 automatic monthly installments of $1,125 per month, RIA Compliance Consultants offers its Platinum+ Package – Annual Compliance Program to assist and support your registered investment adviser with its compliance obligations. Our Platinum+ Package – Annual Compliance Program for a registered investment adviser typically includes the following components:
- As-Needed Consulting – Our compliance consultants will be available on an as-needed basis for up to fifteen (15) hours of consulting regarding your registered investment adviser’s general compliance issues, Form ADV revisions, WSP updates, licensing, marketing material review (not performance related) and adding or terminating IARs;
- IARD Filing Service – File via the IARD/Web CRD system all registration and licensing documents at client’s direction;
- IARD Renewals – Prepare and calculate your registered investment adviser’s licensing renewals;
- Form ADV Part 1A Annual Amendment* – Prepare and file the Form ADV Part 1A Annual Amendment for your registered investment adviser’s fiscal year-end;
- Form ADV Part 1 Updates Service (As-Requested) – Modify and update a specific portion of an investment adviser’s Form ADV Part 1 at client’s request;
- Form U4/U5 Service – Prepare or update up to 7 Form U4s or Form U5s at client’s request;
- Introduction Call – Introductory call with assigned consultant to learn about firm and discuss any immediate needs;
- Compliance Conference Calls – Four 30-minute conference calls to discuss compliance topics and questions raised by client or RIA Compliance Consultants.
- Advertising Training & Sample Disclosures – Access to recorded training for reviewing advertising along with access to sample disclosures for common investment adviser advertising;
- Regulatory Exam Prep – Online access to regulatory exam best practices checklist, sample forms and webinars, and access to a library of example investment adviser exam documents;
- Regulatory Exam Support – Available at client’s request to assist a client during an investment adviser examination by a Securities Regulatory for up to 1 hour;
- Mock Regulatory Compliance Review – Our senior compliance consultant will conduct a mock regulatory compliance review, focusing on a sampling of certain items that an examiner of the Securities Regulator might inspect during a routine investment adviser examination. This is intended to assist a client with determining its general compliance with certain aspects of the Securities Regulations (limited to 18 consulting hours and no forensic testing);
- RIA Express – Written Supervisory Procedures & Code of Ethics (Self-Customized) – Access to the RIA Express authoring wizard for the purpose of creating one set of customized, written supervisory procedures and code of ethics (compliance manual);
- Compliance Manual Section Updates* – Periodically, RIA Compliance Consultants will release updates to your compliance manual depending upon regulatory activity. RIA Compliance Consultants will notify you when we release new update templates and they will be made available to your through your online subscription account;
- Live & Recorded Compliance Training – Unlimited attendance at live webinars or previously recorded webinars hosted by RIA Compliance Consultants or available in our archives during the term of the program;
- New CCO Training Webinar – Access to recorded webinar(s) regarding the responsibilities of a new chief compliance officer;
- Compliance Calendar & Reminders – Sample annual compliance calendar and general reminders of certain compliance requirements delivered periodically throughout the term of the engagement;
- Sample Compliance Training Materials for Supervised Persons – Access to sample compliance training materials for supervised persons of the investment adviser firm;
- Regulatory Notices – Compliance updates and notices provided through our newsletter and email notices;
- IAR Continuing Education Courses – Access to up to 24 hours of investment adviser representative continuing education courses for states which have adopted NASAA’s IAR CE model rule;
- Annual Compliance Conference – A 35% discount off the registration fee to participate in RIA Compliance Consultants’ annual compliance conference for up to 2 employees.
The Platinum+ Package – Annual Compliance Program provides your investment adviser firm with an offsite mock regulatory review led by a senior compliance consultant of RIA Compliance Consultants. It allows an investment adviser firm to leverage the knowledge and experience of veteran investment adviser compliance professional.
The typical fee for the Platinum+ Package – Annual Compliance Program is $1,125 per month for a year. Some investment adviser firms may require more than the allotted 13 hours for the off-site annual compliance review due to the size and complexity of the investment adviser firm and the services it provides. Before purchasing this item, please contact us or schedule an introductory call for more details and to obtain an initial quote specific to your investment adviser firm.
*This annual compliance program package includes an update of the Form ADV Annual Amendment for one pooled investment vehicle, one single series private fund or the first series of a multi-series private fund (“Included Fund”) already disclosed under Item 7.B of the Form ADV Part 1A and Section 7.B of Schedule D. There’s an extra annual fee of $120 for each additional pooled investment vehicle, single series private fund and individual series of a multi-series private fund after the Included Fund. For additional details, please review the services and fee sections of the consulting agreement.
**Consultations regarding and/or customized drafting of new or updated template sections will be charged at an hourly rate or applied against budgeted consulting hours
***This does not include a code of ethics or supervisory procedures.