Investment Advisor Resources

The following website links listed below are offered solely for convenience and informational purposes. Once you click upon one of these links listed below, you will leave our website. RIA Compliance Consultants has not evaluated or approved of the content or services found on these linked websites. The underlying firms and organizations holding out these websites are not endorsing, affiliated with nor supervised by RIA Compliance Consultants.

U.S. Securities and Exchange Commission

State Regulators


Investment Adviser Registration Depository – Electronic Filing System

Series 65 Exam – Opening Window

Series 65 Exam – Scheduling Test Date

Background Checks

Professional Associations & Networks