• About Us
    • Our Staff
    • Contact Us
    • What’s New?
  • Our Services
    • 2019 Form ADV Annual Amendment
    • Turn-Key Investment Advisor Registration Service
    • Annual Compliance Programs
    • Switch an Investment Adviser from SEC to State
    • Code of Ethics
    • 2019 Investment Adviser Compliance Conference
  • Compliance Tools
    • RIA Express
    • Written Supervisory Procedures
    • Sample Forms
    • Online Store
  • Compliance Tips
    • Registering as a State Investment Advisor
    • Form ADV Background Information
    • Form ADV Drafting Tips
    • SEC Examination Tips
  • Resources
    • Upcoming Webinars
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    • FAQ
    • Blog
  • Your Account
    • Your Sample Forms & WSP Update Sections
    • Your Webinars

Our Staff

Our Staff

  • Bryan Hill – President
  • Jarrod James – Vice President
  • Tammy Emsick – Senior Consultant
  • Tom Zielinski – Senior Consultant
  • Kaylee Engel – Compliance Consultant
  • Teresa O’Grady – Senior Consultant
  • Colin Hill – Compliance Consultant
  • Melanie Howard – Compliance Analyst
  • Amanda Erwin – Compliance Specialist
  • Grant Parr: Marketing Coordinator

Contact Us

Contact Us

First Name *
Last Name *
Company *
Phone 1 *
Email *
I want to receive compliance tips and alerts via RCC Newsletter

What’s New – August 2018

https://www.ria-compliance-consultants.com/wp-content/uploads/2018/08/Whats-New-August-2018.mp4

For More Information

For More Information

For More Information

To learn more about our services and products or to set up a time to speak with one of our Compliance Consultants call:

(877) 345-4034

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* Nature of a Consulting Relationship – Not a Law Firm

Although RIA Compliance Consultants, Inc. (“RCC”) is an affiliate of a law firm and RCC may have an individual on its staff that is also licensed as an attorney providing legal services in a completely separate capacity, RCC is not a law firm or an attorney and does not provide legal services or legal advice.

In general, a licensed attorney is regulated by his or her state supreme court through the use of rules of professional conduct, minimum education and examination requirements and a disciplinary process. Unlike a client of an attorney, a client of RCC will not receive the advantages of such regulatory oversight since the compliance consultant occupation is not licensed by state government.

A compliance consulting relationship with RCC is not provided those legal and professional protections that normally exist under an attorney-client relationship such as the following: (a) privileged communication between an attorney and client; (b) the requirement for an attorney to use a client trust account for safekeeping of fees paid in advance; or (c) prohibitions preventing an attorney from having impermissible relationships with clients, representing other persons with conflicting interests, receiving referral fees from third-party vendors, or prospectively limiting liability for malpractice through a contractual provision in a client agreement.

In the event that a securities regulator has initiated an enforcement proceeding claiming an individual or entity has violated the applicable law, such individual or entity will need to retain legal counsel to represent the individual or entity before the securities regulator. Although RCC may serve as an expert regarding industry practices, RCC is not a substitute for engaging appropriate legal counsel to represent such individual or entity.

The determination to use a third-party compliance services provider is an important decision and should not be based solely upon advertisements or self-proclaimed expertise. A description or indication of limitation of our compliance services does not mean that an agency or board has certified RCC as a specialist or expert in investment advisor compliance. All potential clients are urged to make their own independent investigation and evaluation of RCC.

  • Home
  • About RIA Compliance Consultants, Inc.
  • Our Services
    • 2019 Form ADV Annual Amendment
    • Turn-Key Investment Advisor Registration Service
    • Annual Compliance Programs
    • Switch an Investment Adviser from SEC to State
    • Code of Ethics
  • Compliance Tips
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    • Form ADV Background Information
    • Form ADV Drafting Tips
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© 2018 RIA Compliance Consultants, Inc. All Rights Reserved.
RIA Compliance Consultants
  • About Us
    ▼
    • Our Staff
    • Contact Us
    • What’s New?
  • Our Services
    ▼
    • 2019 Form ADV Annual Amendment
    • Turn-Key Investment Advisor Registration Service
    • Annual Compliance Programs
    • Switch an Investment Adviser from SEC to State
    • Code of Ethics
    • 2019 Investment Adviser Compliance Conference
  • Compliance Tools
    ▼
    • RIA Express
    • Written Supervisory Procedures
    • Sample Forms
    • Online Store
  • Compliance Tips
    ▼
    • Registering as a State Investment Advisor
    • Form ADV Background Information
    • Form ADV Drafting Tips
    • SEC Examination Tips
  • Resources
    ▼
    • Upcoming Webinars
    • Recorded Webinars
    • FAQ
    • Blog
  • Your Account
    ▼
    • Your Sample Forms & WSP Update Sections
    • Your Webinars