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, 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, United Kingdom or Switzerland) seeking to register with the SEC, we can conduct an initial consultation (lasting up to one hour) for a fixed fee of $495. If interested in an initial consultation, please email us at email@example.com to request an engagement agreement and instructions for payment of the retainer.
In order to prepare a quote and formal proposal to assist you with the registration of your firm as an investment advisor, you may call us at 877-345-4034 to discuss your new firm and our investment adviser registration service.
Alternatively, you can make an online request for a proposal by providing us with your contact information and answering the following questions about the anticipated activities of your firm. Once you’ve electronically submitted your answers below, you should see a link to the online calendar system of our Business Development Team. Please click on this calendar link so that you can schedule an introductory call about our investment adviser registration service.
An introductory telephone call is typically needed before we can prepare a quote and formal proposal to register your firm as an investment advisor. Thank you.
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Disclosure: Contacting or responding to our offices or consultants does not create a consulting relationship. Likewise, the sharing of information, documents or data does not create a consulting relationship with RIA Compliance Consultants, Inc. An introductory call with RIA Compliance Consultants, Inc. is not intended and should not be considered specific compliance advice from RIA Compliance Consultants, Inc. for a prospective client’s particular situation. 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. For more information, please review our Disclosures webpage.