Disclosure for All Prospective Clients: 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. A user of this website should not transmit personal, sensitive, privileged or confidential information through the message or email facilities provided by RIA Compliance Consultants on this website. For more information, please review our Disclosures webpage.
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 click on Contact Us 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.