Schedule Introductory Call & Request a Proposal for Our Investment Advisor Compliance Services

If you are interested in our turnkey investment adviser registration service, one of annual compliance programs, an annual review for purposes of SEC Rule 206(4)-7 or other compliance services for your investment advisor firm, you may call us at 877-345-4034 ext. 1.

Alternatively, you can make an online request for a proposal by providing us with your contact information and checking the compliance service(s) of interest to your investment advisor. Once you’ve electronically submitted your information below, you should see a link to our online calendar system. Please click on this calendar link so that you can schedule an introductory call about our investment advisor compliance services. An introductory telephone call is typically needed before we can prepare a quote and formal proposal. Thank you.

Disclosure for Foreign Advisers:  The U.S. Securities and Exchange Commission (“SEC”) will not approve new applications to register an investment adviser firm located outside the United States unless an applicant can show that the foreign jurisdiction’s laws and regulations permit the sharing of information with the SEC.  As a result, RIA Compliance Consultants is currently limiting complimentary introductory calls about our compliance services to the following: (i) new applicants which are located in the United States, Canada, the United Kingdom or Switzerland; and (ii) existing firms already registered with the SEC regardless of location. Although we are not available for a complimentary introductory call for a foreign adviser (located outside the U.S., Canada, the United Kingdom and Switzerland) seeking to register with the SEC, we can conduct an initial consultation (lasting up to one hour) for a fixed fee of $595. If interested in an initial consultation, please use the online request form below to request an engagement agreement and instructions for payment of the retainer.

* Indicates a required field

Contact Information:

First Name *
Last Name *
Firm Name
Address *
City *
State *
Zip Code *
Phone *
Email *

Compliance Service(s):

Check the services that you are interested in:
Switch from SEC to State – Mid Size IA
Form ADV
Client Brochure
Wrap Program
Solicitor Disclosures
Registration Renewals & Form ADV Annual Amendment
IARD Service Bureau
Code of Ethics, Compliance Policies & Supervisory Procedures
Investment Advisor Registration
Privacy Policy & Procedures
Section 13(f) Filings
Advertising Review
Compliance Training
Compliance Program Assessment/Annual Review
Mock Regulatory Exam
How did you learn of our services?
I would like to subscribe to the IA Compliance Tips and Alerts email newsletter published by RIA Compliance Consultants.

Upon receipt of this request, RIA Compliance Consultants will contact you within the next business day to further discuss your compliance needs.

For additional contact information about RIA Compliance Consultants, please click here.

Disclosure: Contacting our offices or consultants does not create a consulting relationship. A consulting relationship can be established only after the following two events have been completed: (1) our thorough review with you of all the relevant facts pertaining to a potential engagement; and (2) the execution of a written engagement/fee agreement and our advance receipt of any retainer required under such an agreement.