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NamePriceBuy
13F - Checklist for Filing via Securex$50.00
2021 RIA Compliance Connection - ACPP Clients$195.00

2021 SEC Exam Priorities$69.95
2022 Exam Priorities$69.95
2023 Investment Adviser Exam Priorities$69.95
2023 Year-End Review of Investment Adviser Compliance Trends & Best Practices$0.00
2024 Form ADV Annual Amendment Service (Exempt Reporting Adviser)$500.00

If you have more than 10 private funds or pooled investment vehicles, please email our Business Development Team at bizdevteam@ria-compliance-consultants.com.

2024 Form ADV Annual Amendment Service (Managing Private Fund)$1,395.00

If you have more than 10 private funds or pooled investment vehicles, please email our Business Development Team at bizdevteam@ria-compliance-consultants.com.

2024 IARD Renewal Service and Form ADV Annual Amendment Package$1,295.00
2024 IARD Renewal Service and Form ADV Annual Amendment Package (Exempt Reporting Adviser)$775.00

If you have more than 10 private funds or pooled investment vehicles, please email our Business Development Team at bizdevteam@ria-compliance-consultants.com.

2024 IARD Renewal Service and Form ADV Annual Amendment Package (Managing Private Fund)$1,595.00

If you have more than 10 private funds or pooled investment vehicles, please email our Business Development Team at bizdevteam@ria-compliance-consultants.com.

ADV-W - Client Letter - Notification of Firm's ADV-W$200.00
ADV-W – Full Withdrawal of Investment Adviser Registration - Checklist$150.00
Advertising - Accessibility - Best Practices Checklist$0.00
Advertising - Book Disclosures$200.00
Advertising - Case Studies - Guiding Principles$225.00
Advertising - Checklist for Common Compliance Issues with Non-Performance Advertising$75.00
Advertising - Compliance Review Spreadsheet$35.00
Advertising - D/B/A Name Guidance$150.00
Advertising - Professional Designation Reporting Form$150.00
Advertising - Radio, Podcast & Broadcast Over Social Media – Best Practices$150.00
Advertising - Report Showing Past Performance of Recommended Funds - Disclosure$125.00
Advertising - Seminar Presentation Disclosures$250.00
Advertising - Social Media Review-Approval Form$75.00
Advertising - Social Media/Email - Dirty Word List for Surveillance$150.00
Advertising - Testimonial/Endorsement (No Compensation) Authorization$200.00
Advertising – Assignment/Buy-Sell/Succession$125.00
Annual Compliance Training – Case Studies – Conflicts of Interest, Social Media, Alternative Investments$250.00
Annual Financial Report - Cover Letter for California$85.00
Annual Review – Spreadsheet for Risk Assessment, Supervision Chart and Assessment Log$225.00
Annual Subscription to Live & Recorded Webinars$545.00 / year
Assignment/Change of Ownership - Client Letter - Confirmation of New Owner After 60 Day Notice with 45 Day Rescission - No Response$200.00
Bank - Client Acknowledgement - RIA Not Bank & Investments Not Insured$200.00
Best Execution - Broker-Dealer Evaluation$75.00
Books & Records - Checks Received & Forwarded Log$35.00
Books & Records - Client File Review Form$35.00
Books & Records - Client Meeting Notes & Checklist$125.00
Books & Records - Document Retention Spreadsheet$50.00
Books & Records - Documentation Log and Suggested List of Compliance Files and Reports$75.00
Books & Records – Trade Blotter for Investment Adviser$35.00
Branch Office - Appointment of Branch Supervisor$200.00
Branch Office - Checklist for Office Sharing with Unaffiliated, 3rd Party$225.00
Branch Office – Adding New Office Location Checklist$200.00
Branch Office Review - IA Checklist$300.00
Bronze Package - Annual Compliance Program - 3 Months' Payments - Riddick & Co$720.00

Bronze+ Package - Annual Compliance Program - 12 Monthly Installment Payments$295.00 / month

Count each series as a separate fund. If the number of single-series private funds, individual series of a multi-series fund and pooled investment vehicles exceed 10 in aggregate, please email our Business Development Team at bizdevteam@ria-compliance-consultants.com for approval.

CCO - Annual Compliance Calendar Checklist$150.00
CCO - Common Duties for CCO for New RIA Firm - Compliance Calendar & Suggested Files$150.00
CCO - Third-Party - Confirming Annual Review Completion$50.00
CCO Basic Training$69.95
Checks Received and Forwarded Log$25.00
Client as Investor/Owner in RIA – Checklist of Compliance Issues$200.00
Client Authorization to Release Copy of Client Records to Departing Rep$150.00
Client Complaint - Acknowledgement of Receipt$85.00
Client Complaint - Letter to Rep Requesting Explanation$200.00
Client Complaint - Log$50.00
Client Complaint - Summary$100.00
Client Letter - ADV-W - Notification of Firm's ADV-W$200.00
Client Letter - Assignment of Client Agreement to New Firm (Started by Reps at Old Firm)-No Response$200.00
Client Letter - Assignment/Change of Ownership - Assignment of Client Agreement to New Firm (Started by Reps at Old Firm)-No Response$200.00
Client Letter - Assignment/Change of Ownership - Change of Controlling Ownership - Client Written Response Required$200.00
Client Letter - Assignment/Change of Ownership - Confirmation of Assignment of Advisory Agreement after Initial 60 Day Notice$100.00
Client Letter - Assignment/Change of Ownership - Confirmation of New Owner After 60 Day Notice$200.00
Client Letter - Assignment/Change of Ownership - Death of Former Owner - New Owner - No Response Consent$200.00
Client Letter - Assignment/Change of Ownership - Internal Sale - 60 Day Notice - No Response Consent$200.00
Client Letter - Assignment/Change of Ownership - Rep Starting New Firm, Dual IAR Registration During Transition, 60 Days’ Notice and Authorization to Release Client Information$250.00
Client Letter - Confirming Rep Termination & Release of Information to New Firm$200.00
Client Term - Client Letter - Notifying Termination of Services & Waiver of Notice Period$200.00
Client Term - Death - Best Practices Checklist$100.00
Client Term - Lost Client Form$35.00
Client Term - Lost Client Form Log$25.00
Code of Ethics - Acknowledgment Form$75.00
Code of Ethics - Client Request/Delivery Log$35.00
Code of Ethics - Compliance Violations Reporting Form$150.00
Code of Ethics/Compliance Manual - Acknowledgement Form$150.00
Communication - Electronic Delivery - Client Authorization$200.00
Communication - Text Messaging of Clients Permitted - Rep Acknowledgement & Authorization$250.00
Communications – Social Media & Electronic Messaging Annual Questionnaire$150.00
Compliance Concerns with Private Funds$69.95
Compliance Risks of Using Wrap-Fee Program$69.95
Compliance Roundtable with RCC Consultants - A 2021 Year End Review$69.95
Compliance Training - Interactive Compliance Training Tool – COMPLETE with Questions$250.00
Compliance Training - Interactive Compliance Training Tool – TEMPLATE$125.00
Compliance Training/Meeting Attendance Sign-in Form$35.00
Conducting an Annual Retrospective Review of IRA Rollovers for DoL's PTE 2020-02$69.95
Conflicts of Interest - Cash Sweep Program Checklist$250.00
Conflicts of Interest - Financial Planning - Recommending Products with Varying Commissions$250.00
Conflicts of Interest - FP - Varying Compensation for Insurance/Securities - Client Acknowledgement$225.00
Conflicts of Interest - Log$25.00
Conflicts of Interest – Fixed Indexed Annuities – Best Practices$100.00
Current Trends in Regulatory Exams of Investment Advisers$69.95
Custody – Credit Card/ACH Payments – Best Practices for Avoiding Custody$175.00
Custody – SLOA for First-Party Transfers – Spreadsheet for Documenting Requirements$50.00
Custody – SLOA Transfer to 3rd Party – Spreadsheet Documenting Requirements$85.00
Custody – Spreadsheet for Reviewing Qualified Custodian’s Account Documentation for Inadvertent Custody$95.00
Customized, Regulator Specific Manual (SEC Registered Investment Advisor)$1,295.00
Cybersecurity - 12 Steps for an RIA to Improve Security of Client Information$100.00
Cybersecurity - Best Practices Checklist$250.00
Cybersecurity - Employee Acknowledgement$50.00
Cybersecurity - GDPR Best Practices Checklist for Website$150.00
Cybersecurity - Phishing Email - Letter Notifying Client$175.00
Cybersecurity - Website Security Checklist for an Investment Adviser$25.00
Cybersecurity – Best Practices for Avoiding and Responding to Phishing Attacks$175.00
Cybersecurity – Best Practices for RIA Collecting Devices for Digital Forensic Expert$35.00
Cybersecurity – Cleaning Company Acknowledgement – Background Checks$200.00
Cybersecurity – Conducting Due Diligence of Cloud Computing Service Providers$200.00
Cybersecurity – Training to Avoid Phishing$175.00
Dissecting the SEC's Enforcement Action Against an Investment Adviser Recommending Fixed Indexed Annuities$69.95
Due Diligence - Client Acknowledgement - No Due Diligence of Service Provider Selected by Client$250.00
Due Diligence - Ongoing Questionnaire for Signal/Model Provider's Compliance Program$250.00
Due Diligence - Ongoing Questionnaire for Sub-Adviser's Compliance Program$250.00
Due Diligence - Reimbursement of 3rd Party Professional Services - Client Acknowledgement$250.00
Due Diligence - Vendor Due Diligence Checklist$200.00
Due Diligence (Ongoing) Questionnaire for Third-Party Money Manager Compliance Program$250.00
Duty of Care When Providing Investment Advice$0.00
ESG Investing - Client Consent of Adviser's Use of ESG Objectives$35.00
Fee - Audit Review Form$75.00
Fee - Audit Spreadsheet - Internally Calculated Asset-Based Investment Adviser Fees$125.00
Fee - Client Letter - New Procedure – 12 Month Look for Back for Valuing Private Investment Funds$250.00
Financial Planning - Pre-Engagement Disclosure for Use of eMoney During Introductory Phase$200.00
Foreign Investment Adviser – Undertaking to Provide Books & Records to SEC$75.00
Form ADV - Annual Offer Letter$150.00
Form ADV - Language - COVID-19 Risks$35.00
Form ADV - Language - IAR PPP Loan Disclosure$100.00
Form ADV - Part 3 - Conversation Starters Script$250.00
Form ADV - Part 3 - Cover Letters for Relationship Summary$175.00
Form ADV - Part 3 - Relationship Summary Delivery Log$25.00
Form ADV - Request/Receipt Log$25.00
Form ADV - Revisions Log$25.00
Form ADV – Language – Item 18.B – PPP Loan$150.00
Form ADV – Sample Language – Rollover Recommendation$150.00
Form ADV – Worksheet for Calculating Regulatory Assets Under Management$225.00
Form ADV Part 3 - Compliance Review Module$295.00
Form ADV Part 3 - Training Tool$250.00
Form ADV Part 3 Guidance$69.95
Gifts and Entertainment - Log$25.00
Gifts and Entertainment - Reporting Form$150.00
Gold Package (10 Hours) - 12 Monthly Installment Payments$630.00
Gold Package (10 Hours) - Annual Compliance Program - 12 Monthly Installment Payments$630.00

Gold Package (10 Hours) - Annual Compliance Program - Annual Payments (Engagement Separate)$7,560.00 / year

Gold Package (Renewal) - Annual Compliance Program - Annual Payments$6,300.00 / year

Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments$675.00 / month

Count each series as a separate fund. If the number of single-series private funds, individual series of a multi-series fund and pooled investment vehicles exceed 10 in aggregate, please email our Business Development Team at bizdevteam@ria-compliance-consultants.com for approval.

Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments (Engagement Executed Separately)$675.00 / month

If the number of single-series private funds, individual series of a multi-series fund and pooled investment vehicles exceed 10 in aggregate, please email our Business Development Team at bizdevteam@ria-compliance-consultants.com for approval.

Heightened Supervision Plan - Best Practices Checklist$150.00
Heightened Supervision Plan - Credit$225.00
How to Become a Registered Investment Adviser$0.00
How to Develop Compliance Training & Complying with the New IAR CE Rule$69.95
IAR CE – Tracking Spreadsheets$100.00
Insider Trading – Annual Questionnaire of Firm’s Supervised Person’s Affiliation with Public Company$150.00
Insider Trading – Identifying and Mitigating Risk Checklist$225.00
Interactive Compliance Training Tool – COMPLETE with Questions$250.00
Interactive Compliance Training Tool – TEMPLATE$125.00
Investment Adviser Exam Deficiencies in 2023 & Exam Priorities for 2024$69.95
Invoice - Asset Management Services (Asset Based Fee)$125.00
Invoice - Hourly$125.00
IRA Rollover Compliance Under PTE 2020-02$69.95
IRA Rollovers Under U.S. Department of Labor's PTE 2020-02$69.95
Licensing - Dual IAR Registration - Letter to Licensing Dept of State Regulator$150.00
Licensing IARs under New York’s New Requirements$69.95
Mock Exam Document Request List$200.00
Navigating Unethical Acts and Code of Ethics Obligations of Investment Adviser Representatives$0.00
Non-Licensed Meeting Attendee - Acknowledgement$150.00
Non-Licensed Owner - Acknowledgement by Owner$225.00
Non-Licensed Owner - Checklist of Compliance Issues$225.00
Non-Licensed Owner - Client Acknowledgement$200.00
OBA - Reporting Form$225.00
Order Memorandum/Trade Ticket$25.00
Outside Business Activity - Client Acknowledgement - General$250.00
Outside Business Activity - Client Acknowledgement that Fixed Indexed Annuity Recommendation Is an Outside Activity$250.00
Outside Business Activity - Client Acknowledgement that Rep’s Trustee Services Are Outside of Investment Adviser Firm$250.00
Outside Business Activity - Investigation Checklist$200.00
Outside Business Activity - Recommending FIA in lieu of SMA in Retirement Account - Client Acknowledgement$250.00
Outside Business Activity – Acknowledgement that Rep’s Non-Profit Board of Director’s Activity Is Outside of RIA$250.00
Personal Securities Transactions - Annual/Initial Personal Securities Holding Report$75.00
Personal Securities Transactions - Brokerage Account Disclosure Form$75.00
Personal Securities Transactions - Letter to Request Duplicate Confirmations & Statements$75.00
Personal Securities Transactions - Personal Securities Trading Request Form$75.00
Personal Securities Transactions - Pre-Clearance Form$75.00
Personal Securities Transactions - Quarterly Personal Securities Transaction Report$75.00
Personal Securities Transactions - Supervising for Insider Trading Checklist$225.00
Personal Securities Transactions Form – Non-Access Person Acknowledgment$200.00
Platinum+ Package – Annual Compliance Program – 12 Monthly Installment Payments$1,125.00 / month

Count each series as a separate fund. If the number of single-series private funds, individual series of a multi-series fund and pooled investment vehicles exceed 10 in aggregate, please email our Business Development Team at bizdevteam@ria-compliance-consultants.com for approval.

Platinum+ Package – Annual Compliance Program – 12 Monthly Installment Payments - Engagement Executed Separately$1,125.00 / month

If the number of single-series private funds, individual series of a multi-series fund and pooled investment vehicles exceed 10 in aggregate, please email our Business Development Team at bizdevteam@ria-compliance-consultants.com for approval.

Political Contributions - Log$25.00
Political Contributions - Reporting Form$150.00
Preparing for Compliance with SEC's New Marketing Rule$69.95
Preparing for the SEC's New Private Fund Adviser Regulations$69.95
Privacy - Client Authorization for 3rd Party to Release Confidential Info. to Investment Advisor$50.00
Privacy - Client Authorization to Release Copy of Client Records to Departing Representative$200.00
Privacy - Client Privacy Policy Notice (Sample)$150.00
Privacy - Client Privacy Policy Notice Request/Receipt Log$25.00
Privacy - Confirmation that Client Provided Rep with Info to Establish New Account$175.00
Privacy - Permission to Disclose Personal Info on Behalf of Client$150.00
Private Equity Risk Disclosure$295.00
Private Fund - Common Issues for Adviser to Private Fund$200.00
Questionnaire/Checklist - SEC Exam Priorities 2018$150.00
Recorded Webinar - Learning from Other's Mistakes$69.95
Recorded Webinar : Addressing Outside Business Activities & Conflicts of Interest$69.95
Recorded Webinar : Annual Compliance Review Recordkeeping and RIA Express – Compliance Review Demonstration$69.95
Recorded Webinar : Applicability Dates of Best Interest Contract Exemption under DoL's Fiduciary Rule$69.95
Recorded Webinar : Approving Marketing Materials$69.95
Recorded Webinar : Assessing Your Investment Adviser’s Compliance Culture$69.95
Recorded Webinar : Basic Training for a CCO$69.95
Recorded Webinar : Beyond Privacy Notice – Safeguarding Client Data$69.95
Recorded Webinar : Building a Strong Compliance Culture for Your Investment Adviser$69.95
Recorded Webinar : Common Investment Adviser Books and Records Deficiencies$69.95
Recorded Webinar : Compliance Concerns for Investment Advisers Working with Senior Investors and Vulnerable Clients$69.95
Recorded Webinar : Compliance for Independent Registered Investment Advisers with Representatives also Registered with a Broker-Dealer$69.95
Recorded Webinar : Compliance for Social Media$69.95
Recorded Webinar : Compliance Requirements for Investment Adviser Advertising$69.95
Recorded Webinar : Compliance Requirements for Investment Adviser Advertising and Marketing$69.95
Recorded Webinar : Compliance Talk with RCC Consultants – A Year End Review$69.95
Recorded Webinar : Compliance Talk with RCC Consultants – RIA Fee Billing Practices$69.95
Recorded Webinar : Compliance Update on Investment Advisers' Use of Social Media$69.95
Recorded Webinar : Conducting a Risk Assessment/Risk Inventory$69.95
Recorded Webinar : Conducting an Annual Compliance Review$69.95
Recorded Webinar : Conducting an Annual Compliance Review$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 1$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 10 – Fees & Business Continuity Plans & Information Security$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 11 – Trading Records, Portfolio Management Records, Financial Planning$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 12 – Complaints, Regulatory Exams, Regulatory Investigations, Whistleblowers$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 13 – Client Documents, Proxy Voting, Foreign Clients, ERISA$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 2 – Registration$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 3 – Code of Ethics$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 4 – Supervision, Branch Offices, Outside Business Activities$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 5 –Advertising and Social Media$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 6 – Utilizing Solicitors, Serving as a Solicitor, and Service Providers$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 7 – Electronic Communications, Electronic Storage, Privacy Records$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 8 – Organizational and Operational Records$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 9 – Fees & Custody, Form 13F Filings, Private Funds$69.95
Recorded Webinar : Conducting and Documenting an Annual Review of RIA Policies and Procedures$69.95
Recorded Webinar : Creating an Independent Contractor, Investment Adviser Representative Agreement$69.95
Recorded Webinar : Custody Implications for Investment Advisers$69.95
Recorded Webinar : Custody Rule Implications for Investment Advisors: First-Party v. Third-Party Transfers$69.95
Recorded Webinar : Cybersecurity for Investment Advisers$69.95
Recorded Webinar : Cybersecurity: Could Your Investment Adviser Pass Regulatory Scrutiny?$69.95
Recorded Webinar : Developing and Implementing an Effective Customized Compliance Program$69.95
Recorded Webinar : Developing and Maintaining Customized Written Compliance Policies and Procedures$69.95
Recorded Webinar : DoL New Conflicts of Interest Rule-Implications for RIA Only Firms$69.95
Recorded Webinar : Establishing and Supervising Solicitor Arrangements$69.95
Recorded Webinar : Establishing Information Security Programs for Registered Investment Advisers$69.95
Recorded Webinar : Exploring the SEC's New Custody Rule$69.95
Recorded Webinar : Form ADV Amendments - Once a Year Might not be Enough$69.95
Recorded Webinar : Getting Your Compliance Calendar Ready for 2012$69.95
Recorded Webinar : Getting Your Compliance Calendar Ready for 2013$69.95
Recorded Webinar : Highlights from the April 2018 SEC Compliance Outreach Program National Seminar$69.95
Recorded Webinar : Highlights from the June 2017 SEC Compliance Outreach Program Regional Seminar$69.95
Recorded Webinar : How an Investment Adviser Can Create & Maintain a Strong Culture of Compliance$69.95
Recorded Webinar : How the SEC’s Recent Approval of Form CRS/Form ADV Part 3 Affects Investment Advisers$69.95
Recorded Webinar : Identifying, Disclosing, and Mitigating Conflicts of Interest$69.95
Recorded Webinar : Identity Theft & Third Party Wire & Check Fraud$69.95
Recorded Webinar : Impact of New Custody Rule on an RIA Operating a B-D, Qualified Custodian or Private Fund$69.95
Recorded Webinar : Insight into SEC Exam Priorities for 2015$69.95
Recorded Webinar : Investment Adviser Books and Records Requirements$69.95
Recorded Webinar : Investment Adviser Branch Office Supervision & Supervision of Representatives with Past Disciplinary Histories$69.95
Recorded Webinar : Investment Adviser Code of Ethics Requirements$69.95
Recorded Webinar : Investment Adviser Compliance for RIAs with Representatives Dually Licensed with a Broker-Dealer$69.95
Recorded Webinar : Investment Adviser Custody Requirements – Could Your Firm Have Custody and Not Know It?$69.95
Recorded Webinar : Investment Adviser Fiduciary Duty$69.95
Recorded Webinar : Investment Adviser Service Provider Due Diligence Reviews$69.95
Recorded Webinar : Investment Advisory Fees & Other Expenses$69.95
Recorded Webinar : Maintaining Investment Advisor Books & Records$69.95
Recorded Webinar : Maintaining Required Books and Records$69.95
Recorded Webinar : Making Compliance Resolutions for 2011$69.95
Recorded Webinar : My New ADV Part 2 Is Filed - Now What?$69.95
Recorded Webinar : New 408(b)(2) Disclosure Requirements Affect Investment Advisers to ERISA Plan Accounts$69.95
Recorded Webinar : Performance Advertising for Investment Advisers$69.95
Recorded Webinar : Planning Your Investment Adviser Compliance Program for 2018$69.95
Recorded Webinar : Post DoL Rule - RIA Requirements for Addressing Conflicts of Interest$69.95
Recorded Webinar : Preparing for a Regulatory Exam$69.95
Recorded Webinar : Preparing for an SEC Exam$69.95
Recorded Webinar : Preparing Form ADV Annual Amendments$69.95
Recorded Webinar : Preparing Your Compliance Calendar for 2014$69.95
Recorded Webinar : Preparing Your Compliance Calendar for 2015$69.95
Recorded Webinar : Preparing Your Compliance Calendar for 2017$69.95
Recorded Webinar : Preparing Your Form ADV Annual Amendment$69.95
Recorded Webinar : Preparing Your Form ADV Annual Amendment 2017$69.95
Recorded Webinar : Professional Ethics for Investment Adviser Representatives$69.95
Recorded Webinar : Professional Ethics for Investment Adviser Reps$69.95
Recorded Webinar : SEC 2019 Exam Priorities for RIAs & Tips for Making Sure You’re Prepared$69.95
Recorded Webinar : SEC Exam Priorities & Common Exam Deficiencies$69.95
Recorded Webinar : SEC Exam Priorities & Exam Readiness 2018$69.95
Recorded Webinar : SEC Requirements for Performance Advertising$69.95
Recorded Webinar : SEC's 2020 Exam Priorities for Investment Advisers$69.95
Recorded Webinar : Social Media and Email Compliance for Investment Advisers$69.95
Recorded Webinar : Solutions and Answers to Form U4 and Form U5 Challenges$69.95
Recorded Webinar : Strategies for Registered Investment Advisers to Comply with the DoL New Conflicts of Interest Rule$195.00
Recorded Webinar : Succession Planning for Investment Advisers - Why? & How?$69.95
Recorded Webinar : Tips for Preparing Your Form ADV Annual Amendments$69.95
Recorded Webinar : Understanding and Preparing for the 'Switch' for Mid-Sized Advisors$0.00
Recorded Webinar : Understanding the New ADV Part 2$0.00
Recorded Webinar : Understanding the New Identity Theft Red Flags Rules and How SEC Registered$69.95
Recorded Webinar : Understanding the Role of the Chief Compliance Officer$69.95
Recorded Webinar : Updating Written Compliance Policies and Procedures$69.95
Recorded Webinar : What We Learned from Investment Adviser Regulatory Compliance Exams in 2017$69.95
Recorded Webinar : Why Investment Advisers Should Carry E&O and Cybersecurity Insurance (August 2019)$69.95
Recorded Webinar: 2020 SEC Exam Priorities for Investment Advisers$69.95
Recorded Webinar: Billing Best Practices with Bridge Financial Technology$69.95
Recorded Webinar: Bringing On Investment Adviser Reps$69.95
Recorded Webinar: Common Questions for RCC Consultants$69.95
Recorded Webinar: Compliance Talk with RCC Consultants – A 2019 Year End Review$69.95
Recorded Webinar: Compliance with Form ADV Part 3 Requirements$69.95
Recorded Webinar: How to Report Elder Abuse to Adult Protective Services$0.00
Regulator Specific Customized Manual (State Registered Investment Advisor)$1,295.00
Regulatory Inquiry/Investigation - Checklist$175.00
Rep - Recruiting - New Firm Recommending Prospect Retain Attorney Before Affiliating$100.00
Rep - Supervision - Letter of Caution
Rep – Diminished Capacity of IAR$175.00
Rep Term - Client Letter - Existing Rep Termination & New Successor Rep$200.00
Rep Term - Client Letter - Rep Starting New Firm, Temporary Dual Registration, No-Response Notice$200.00
Rep Term - Rep Letter - Notification of Termination$200.00
Retirement Plan Participant's User ID & Password - Internal Checklist for Custody$200.00
Reviewing & Updating Form U4 & Form ADV Part 2B$69.95
Reviewing and Updating Investment Adviser Client Agreements$69.95
RIA Website Accessibility Webinar$0.00
Riding the Regulatory Wave: Navigating the Potential 2024 Surge for SEC Registered Investment Advisers$69.95
Sample Form - Advertising/Marketing Review Form$35.00
Sample Form - Branch Office Review – IA Checklist Form$300.00
Sample Form - Chief Compliance Officer Acknowledgement Form$75.00
Sample Form - Client Authorization for Electronic Delivery of Documents$150.00
Sample Form - Compliance Issues Log$25.00
Sample Form - Compliance Training/Meeting Attendance Sign-in Form$25.00
Sample Form - Conflicts of Interest Log$25.00
Sample Form - Customer Complaint Log$50.00
Sample Form - Sample Margin Disclosure Form$150.00
Sample Form - Solicitor Annual Questionnaire - Affiliated and Licensed$200.00
Sample Form - Solicitor Annual Questionnaire - Affiliated and Unlicensed$200.00
Sample Form - Solicitor Annual Questionnaire - Unaffiliated and Unlicensed$200.00
Sample Form - Supervision Assignment Chart$150.00
Sample WSP/CoE Section - Form ADV Part 3$250.00
SEC Exam - Privilege Log$50.00
SEC Exam – Investment Adviser’s Confirmation of New Deadline for Response$25.00
SEC Exam – Log of Requested Docs & Info$35.00
SEC Exam – Mock Exam Document Request List$200.00
SEC Exam – Response to Deficiency or Findings Letter from Securities Regulator$25.00
SEC Exam – Sample Letters Requesting Confidential Treatment under FOIA$250.00
SEC's New Marketing Rule - Session 1 - Advertising$69.95
SEC's New Marketing Rule - Session 2 - Solicitations$69.95
SEC's New Marketing Rule - Session 3 - Updating Solicitor Arrangements under SEC’s New Marketing Rule$69.95
SEC's New Marketing Rule - Session 4 - RIA Client Testimonials under SEC’s New Marketing Rule$69.95
Self-Customized, Regulator Specific Compliance Manual (SEC Registered Investment Advisor) via RIA Express$695.00
Self-Customized, Regulator Specific Manual (State Registered Investment Advisor) via RIA Express$695.00
Self-Customized, Regulator Specific Manual (State Registered Investment Advisor) via RIA Express$695.00
Senior/Vulnerable Clients - Internal Reporting Form for Exploitation$75.00
Senior/Vulnerable Clients - State Reporting Requirements$150.00
Senior/Vulnerable Clients - Training$125.00
Senior/Vulnerable Clients - Training Quiz$45.00
Senior/Vulnerable Clients – Client Authorization to Communicate with Trusted Emergency Contact$95.00
Silver Package - Annual Compliance Program - Annual Payments$3,540.00 / year

Silver Package - Annual Compliance Program - Annual Payments (Renewal)$3,540.00 / year

Silver+ Package – Annual Compliance Program – 12 Monthly Installment Payments$335.00 / month

Count each series as a separate fund. If the number of single-series private funds, individual series of a multi-series fund and pooled investment vehicles exceed 10 in aggregate, please email our Business Development Team at bizdevteam@ria-compliance-consultants.com for approval.

Soft Dollars - Does This Apply to My Investment Adviser$69.95
Suitability - Broker-Dealer (Commission) v. RIA (Fee) Account - Client Acknowledgement$150.00
Suitability - Client Letter - Confirming Accounts & Objectives$175.00
Suitability - Excessive Withdrawals from a Retirement Account - Client Acknowledgement$250.00
Suitability - Rep Did Not Solicit or Recommend Investment - Investor Acknowledgement$275.00
Suitability - Risk Tolerance Questionnaire for Clients$150.00
Suitability - Wrap vs. Non-Wrap Account - Client Acknowledgement$250.00
Suitability – Marijuana-Related Investment – Acknowledgement by Client of Speculative Nature$200.00
Suitability Tax Efficiency - Client Acknowledgement - Account Not Managed for Taxes$100.00
Test Product - One Time$1.00
Test Product - Subscription$1.00 / day
Testimonials & Endorsements under the SEC’s New Marketing Rule$69.95
Titanium+ Package – Annual Compliance Program – 12 Monthly Installment Payments$1,750.00 / month

Count each series as a separate fund. If the number of single-series private funds, individual series of a multi-series fund and pooled investment vehicles exceed 10 in aggregate, please email our Business Development Team at bizdevteam@ria-compliance-consultants.com for approval.

Trade Error - Documentation Form$25.00
Trade Error - Log$25.00
Trading - Checklist for Detecting Cherry Picking$175.00
Trading - Pontera - Best Practices Checklist$175.00
Trading - Pontera - Sample Language for Form ADV Part 2A$175.00
Updating Form ADV$69.95
Webinar - Custody Rule Implications for Investment Advisers: First-Party v. Third-Party Transfers$69.95
Webinar - Preparing Form ADV Annual Amendments (9/7/2017)$69.95
Whistleblower - Complaint/Tracking Reporting Form$25.00
Whistleblower - Sample Whistleblower Reporting Form$125.00
WSP/CoE Section - Advertising$400.00
WSP/CoE Section Update - Account Type Suitability (Commission vs. Fee)$250.00
WSP/CoE Section Update - Account Type Suitability (Wrap v. Non-Wrap Fee Account)$250.00
WSP/CoE Section Update - Broker-Dealer v. Advisory Accounts - Policy/Procedures Only$175.00
WSP/CoE Section Update - Communicating with the Press/News Media$250.00
WSP/CoE Section Update - Cross Trade Procedures$250.00
WSP/CoE Section Update - Different Fee Rates for Asset Classes in Retirement Accounts$250.00
WSP/CoE Section Update - IAR Licensing in New York$250.00
WSP/CoE Section Update - Identity Theft & Wire Fraud$250.00
WSP/CoE Section Update - Insurance Agent (Not IAR Licensed) Attending Client Meeting$250.00
WSP/CoE Section Update - Inverse & Leveraged ETFs$250.00
WSP/CoE Section Update - Investment Adviser Succession Plan$250.00
WSP/CoE Section Update - Mutual Fund Share Class Selection$250.00
WSP/CoE Section Update - Non-Licensed Owner of RIA$250.00
WSP/CoE Section Update - Participation on Investors Committee by Supervised Person$250.00
WSP/CoE Section Update - Protecting Older and Vulnerable Clients with Diminished Capacity$250.00
WSP/CoE Section Update - Recommending FIA in lieu of SMA is Retirement Account$250.00
WSP/CoE Section Update - Reports to Parent Company Do Not Trigger Supervised Person, Access Person$250.00
WSP/CoE Section Update - Section 13 Filings$250.00
WSP/CoE Section Update - Text Messaging Permitted$250.00
WSP/CoE Section Update - Wrap v. Non-Wrap Account$250.00
WSP/CoE Section Update – Text Messaging Prohibited$250.00
Year-End Review of Investment Adviser Compliance Trends & Best Practices$69.95