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 $495. If interested in an initial consultation, please email us at firstname.lastname@example.org to request an engagement agreement and instructions for payment of the retainer.
Disclosure: Introductory calls between RIA Compliance Consultants, Inc. and a prospective client are limited to learning more about a prospective client’s particular situation and the services of RIA Compliance Consultants, Inc. Such introductory calls are not intended and should not be considered a compliance consultation with RIA Compliance Consultants, Inc. or specific compliance advice from RIA Compliance Consultants, Inc. Any information shared by RIA Compliance Consultants, Inc. during an introductory call or through a follow-up communication is intended only for educational and background purposes and should not serve as the basis for making any compliance decision. For additional details, please review our Disclosures webpage.