Last updated: September 10, 2023
Please read this Terms of Service, Disclosures & Website Privacy (“Terms” and/or “Terms of Service”) carefully before using the https://www.ria-compliance-consultants.com/ website (the “Website”) operated by RIA Compliance Consultants, Inc. (also referred to as “RIA Compliance Consultants,” “RCC,” “we,” “us,” and/or “our”), a corporation formed in Nebraska, United States. The Terms of Service contains important information regarding limitations of our liability. Your access to and use of this Website is conditional upon your acceptance of and compliance with these Terms, which apply to everyone, including but not limited to visitors, users and others who wish to access and use the Website. By accessing or using the Website, you agree to be bound by these Terms. If you disagree with any part of the Terms, then you do not have our permission to access or use the Website.
This website is intended for informational purposes only. Despite our efforts to be accurate, these pages may contain errors and information that is no longer current. The information published on this website is subject to change on a regular basis without notice. This website should not be regarded as a complete analysis of the subjects discussed. General information about regulations is often insufficient to resolve regulatory problems. Information on this site should not be relied upon as a substitute for legal, tax or accounting advice by a professional in your local jurisdiction. Often times, a party needs professional advice that applies to his or her specific situation. We recommend that you retain a compliance professional and/or attorney to provide you with specific guidance regarding your firm’s situation.
A viewer of this website should be aware that securities regulations for registered investment advisors vary by states and the federal government. Unless specified otherwise, a viewer should consider the information on this website about securities regulations for investment advisors as general in nature. Certain information on this website may not apply to the securities regulations of your local jurisdiction.
Information provided on this website is provided “as is” without warranty of any kind, either express or implied, including, without limitation, warranties and merchantability, fitness for a particular purpose, or non-infringement. RIA Compliance Consultants, Inc. assumes no liability or responsibility for any errors or omissions in the content of this website. Under no circumstances and under no legal theory shall RIA Compliance Consultants, Inc. be liable to a viewer of this website or any other person for any damages, whether direct, indirect, incidental, consequential or special arising from viewer’s access to or use of this website.
We assume no liability for the availability, errors or inaccuracies of the information provided on this Website. We may experience delays in updating information on this Website and in our advertising on other websites. The information found on the Website may contain errors or inaccuracies or may not be complete or current. Products or services listed in our online store may be incorrectly priced or unavailable. We expressly reserve the right to correct any pricing errors on our Website.
Our Offers and Pricing – We offer services and digital products on this Website. The price of these services and digital products can be found listed on the Website. This price does not include taxes or other fees that you may be charged.
Purchases – When you make a purchase on the Website, you will be able to choose the third party payment processor that will collect your payment information and process your payment. You may make purchases using third party payment processors. We are not responsible for the collection, use, sharing or security of your billing information by these third party payment processors. You hereby represent and warrant that you have the legal right to use the payment method in connection with any purchase and that the information that you supply to us and to the third party payment processors is true, correct and complete.
Cancellation policy – We do not offer you the ability to cancel any purchases that you have made of the services and digital products offered on our Website. We reserve the right to cancel your purchase.
Refund policy – We do not offer refunds on any purchases made on this Website.
Advance payments – We will ask you to provide an advance payment on any purchase made of the services and digital products offered on our Website.
No warranty on purchases – The items or services displayed or sold on this Website are provided “as is,” No warranty, express or implied (including any implied warranty of merchantability, of satisfactory quality or fitness for a particular purpose or use) shall apply to any items or services displayed or sold on this Website, whether arising by law, course of dealing, course of performance, usage of trade or otherwise.
Annual Compliance Program – This Website features Annual Compliance Program packages (e.g., Bronze, Silver, Gold, Platinum, Titanium) that are offered for an annual fixed consulting fee for a 12 month period with option of an automatic monthly or quarterly payment plan of the annual fixed consulting fee. We do not offer the option to revoke your Annual Compliance Program shortly after making your purchase. When you purchase Annual Compliance Program package on the Website, your Annual Compliance Program engagement will automatically renew every 12 months. We will automatically renew your subscription by using the payment method on file. You may cancel the annual renewal of your Annual Compliance Program by providing us written notice of cancelation prior to the 12 month anniversary date of the execution of the Annual Compliance Program engagement by sending written notice:
A sample document purchased or received through our online store is merely a sample and provided to the purchaser on “as is” basis with no warranty or guaranty whatsoever.
The sample document has not been customized to the purchaser’s business model, the specific investment advisory rules applicable to the purchaser’s investment adviser or the written supervisory procedures and code of ethics of purchaser’s investment adviser. This sample document may not be applicable or appropriate for every investment adviser. The purchaser should not consider a sample document purchased from our online store as an exhaustive, comprehensive or definitive list of the items necessary to meet the purchaser’s obligations under the applicable investment adviser laws and rules.
This sample document is not intended to detect or prevent fraud, selling away, Ponzi schemes, undisclosed outside business activities, inaccurate or false fee calculations, theft, misappropriation or unlawful conversion of client funds.
Due to changes of investment adviser laws and rules, this sample documented may become outdated and need to be updated or discontinued. Since this sample document may not reflect the specific investment advisory requirements of the purchaser’s securities regulator, the purchaser should check with the securities regulator(s) with jurisdiction over its investment adviser before using this document.
A sample document is not a substitute for retaining a compliance professional to advise and assist the purchaser regarding its investment adviser’s compliance program. Unless otherwise agreed to in writing, the purchaser understands that the purchaser has not engaged RIA Compliance Consultants, Inc. in a consulting relationship by merely utilizing a sample form. Additionally, the purchaser understands that unless otherwise agreed to in writing, RIA Compliance Consultants, Inc. is not responsible for customizing this sample document, updating the sample document, preparing the purchaser’s written supervisory procedures or code of ethics, or notifying the purchaser of changes to the investment advisor laws and rules.
When you create an account on our Website, you guarantee that you are 18 years of age or older and that the information that you provide us is accurate, complete, and current at all times. Inaccurate, incomplete, or obsolete information may result in the immediate termination of your account on the Website.
You are responsible for maintaining the confidentiality of your account and password, including but not limited to the restriction of access to your computer and/or account. You agree to accept responsibility for any and all activities or actions that occur under your account and/or password, whether your password is with our Website or a third party service. You must notify us immediately upon becoming aware of any breach of security or unauthorized use of your account.
We reserve the right to terminate your account anytime at our sole discretion. You can terminate your account by contacting us.
You agree that you will use this Website in accordance with all applicable laws, rules, regulations and these Terms at all times. The following is a non-exhaustive list of prohibited uses of this Website. You agree that you will not perform any of the following prohibited uses:
All contents of this Website are ©2005 – 2023 RIA Compliance Consultants, Inc. or third parties. All rights reserved. Unless specified otherwise, this Website and all content and other materials on this Website including but not limited to all logos, designs, text, graphics, pictures, information, data, software, sound files and arrangement thereof (collectively, “Content”) are the proprietary property of RIA Compliance Consultants, Inc. and are either registered trademarks, trademarks or otherwise protected intellectual property of RIA Compliance Consultants, Inc. or third parties in the United States and/or other countries.
If you are aware of a potential infringement of our intellectual property, please contact in writing the President of RIA Compliance Consultants, Inc.
We respect the intellectual property rights of others. It is our policy to respond to any claim that Content posted on the Website infringes on the copyright, trademark or other intellectual property rights of any person or entity.
If you believe in good faith that the Content infringes on your intellectual property rights, you or your agent may send us a written notice of such infringement titled “Infringement of Intellectual Property Rights – DMCA.” Your notice to us must include the following information:
Please note that we will not process your complaint if it is not properly filled out or is incomplete. You may be held accountable for damages, including but not limited to costs and attorneys’ fees for any misrepresentation or bad faith claims regarding the infringement of your intellectual property rights by the Content on this Website.
You may submit your claim in writing to us by contacting us at:
RIA Compliance Consultants, Inc.
6910 Pacific Street, Suite 102
Omaha, NE 68106
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. for the prospective client’s particular situation. 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. Introductory calls with RIA Compliance Consultants, Inc. do not create an engagement with RIA Compliance Consultants, Inc. An introductory call is not a substitute for formally retaining a compliance professional.
Viewing this website or contacting or responding to our offices or consultants does not by itself create a consulting relationship with RIA Compliance Consultants, Inc. Likewise, the sharing of information, documents or data does not create a consulting relationship with RIA Compliance Consultants, Inc. 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.
Although RIA Compliance Consultants, Inc. is an affiliate of a law firm and RIA Compliance Consultants, Inc. may have an individual on its staff that is also licensed as an attorney providing legal services in a completely separate capacity, RIA Compliance Consultants, Inc. 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 RIA Compliance Consultants, Inc. 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 RIA Compliance Consultants, Inc. 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 RIA Compliance Consultants, Inc. may serve as an expert regarding industry practices, RIA Compliance Consultants, Inc. 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 RIA Compliance Consultants, Inc. as a specialist or expert in investment advisor compliance. All potential clients are urged to make their own independent investigation and evaluation of RIA Compliance Consultants, Inc.
There is no guarantee or promise that the information on this website or the registration services or compliance consulting work performed by RIA Compliance Consultants, Inc. will be favorably received by the applicable securities regulators or result in a certain outcome.
At times, access to certain documents and forms on our site may require you to download a free software application from a private entity or corporation. RIA Compliance Consultants, Inc. is not responsible for downloads of suggested applications from an unofficial site. When possible, our site links directly to the official company site for such downloads. Although we offer suggestions and tips to aid our web visitors in this procedure, it is your responsibility to investigate the correct procedure for downloading, installing and using such software applications on your system. In addition, although our site may require such a download, any software licensing agreement you enter into is not transferable to RIA Compliance Consultants, Inc. and is legally binding only between you and the licensing corporation. Problems you encounter while downloading, installing and/or using these applications should be directed to the entity or company offering the product.
There are security issues involved when submitting personal, sensitive or confidential information over an Internet connection. As a result, a user of this website should not transmit personal, sensitive, or confidential information through the message or email facilities provided by RIA Compliance Consultants, Inc. on this website.
We attempt at all times to provide our users with a safe Internet browsing experience. However, there may be times when such security measures are beyond our control. You are directly responsible for correct use, maintenance and security of your computer, network system, software applications and/or electronic files. RIA Compliance Consultants, Inc. is not liable for any damages to or loss of your computer, network system, software applications or electronic files due to inadequate security features, user error and/or failure to comply with recommended operating procedures and maintenance; nor is RIA Compliance Consultants, Inc. liable for any damages or loss due to Internet connection and/or service failures, problems, or damages caused by applications owned and maintained by a separate corporation or entity.
RIA Compliance Consultants, Inc. uses links to other web sites in an effort to assist users in locating information on topics that might be of interest to them. RIA Compliance Consultants, Inc. cannot attest to the accuracy of information provided by linked sites and are not responsible for the content or the privacy practices employed by other sites. Linking to a web site does not constitute an endorsement by RIA Compliance Consultants, Inc. of any of its employees of the sponsors of the site or the products presented on the other site. It is your responsibility to take precautions to ensure that whatever links you click on or software that you download, whether from this Website or other websites or applications, is free of such items as viruses, worms, trojan horses, defects and other items of a destructive nature. Technical problems with outside links, other than a link that has been moved or changed, should be reported to the entity that maintains the site. If you discover an error on one of the other sites, please contact the webmaster of that linked site.
RIA Compliance Consultants, Inc. receives compensation for the Strategic Alliance memberships, which creates a conflict of interest and biases the objectivity of RIA Compliance Consultants, Inc. when discussing the services or products of the Strategic Alliance members. The determination to use the services or products of a Strategic Alliance member is an important decision and should not be based solely upon a member’s participation in our Strategic Alliance Program. RIA Compliance Consultants, Inc. is not affiliated with these Strategic Alliance members, does not control or supervise the services or products of the Strategic Alliance member and reference to these Strategic Alliance members does not mean that RIA Compliance Consultants, Inc. has performed any level of due diligence on the Strategic Alliance member’s services or products. As with any service provider, users of this website and RCC clients are urged to perform their own due diligence on the Strategic Alliance members. Each registered investment adviser should perform its own independent investigation and evaluation to make sure that the Strategic Alliance member is the best fit for its firm. There is no obligation to utilize the services or products of the Strategic Alliance Member.
In no event shall RIA Compliance Consultants, Inc. be liable for any direct, indirect, punitive, incidental, special or consequential damages arising out of, relating to or in any way connected with your access to, display of or use of this Website or with the delay or inability to access, display or use this Website, including but not limited to your reliance upon opinions or information appearing on this Website; any computer viruses, information, software, linked websites operated by third parties, even if RIA Compliance Consultants, Inc. has been advised of the possibility of such damages.
These Terms shall be governed and construed in accordance with the laws of the State of Nebraska without regard to its conflict of laws provisions. These terms shall not be governed by the United Nations convention on contracts for the sale of international goods, the Uniform Commercial Code, nor Incoterms.
Our failure to enforce any right or provision of these Terms will not be considered a waiver of that right or provision. If any provision of these Terms is held to be invalid or unenforceable by a court, the remaining provisions of these Terms will remain in effect. These Terms constitute the entire agreement between you and us regarding our Website and supersede and replace any prior agreements we might have had with you regarding the Website.
Any controversy or claim arising out of or relating to these Terms including but not limited to the interpretation or breach thereof shall be resolved in a court of competent jurisdiction in Douglas County, Nebraska.
You and RIA Compliance Consultants, Inc. agree that each may bring claims against the other only in your or its individual capacity and not as a plaintiff or class member in any class or representative action.
We reserve the right to make changes to these Terms of Service at any time. We will not provide you with any notice when we make changes to this Terms of Service.
If you have any questions about our Terms of Service, please contact us through Contact Us webpage.