RIA Consulting

The industry would view consulting as the act of providing advice or assistance as directed by the client. We pride ourselves to not just provide our best in class expert advice and services, but to also help clients to know what they just don’t know. We provide a broad array of services for our RIA clients in order to help them meet regulatory and compliance obligations. Our team includes former regulators, AML officers, attorneys, auditors, chief compliance officers, supervising principals, and senior operations professionals. For over 15 years, we have built our products and services around the needs of clients that have the in-house expertise as well as for those that do not.

Our RIA Consulting Services

The following is a list of services that we perform for our clients:

  • Expert Advice
  • State or SEC Registration Services
  • Written Supervisory Procedures Review, Updates and Amendments
  • IARD Administration
  • Expert Witness
  • Outsourced CCO
  • CCO Training and Compliance Support
  • Code of Ethics Training
  • Personal Trading Monitoring
  • Insider Trading
  • Inventory of Risk
  • Ongoing Compliance Training
  • Custody Review
  • Firm and Individual Registration Support
  • Regulatory liaison for regulatory matters
  • Assistance with Annual ADV Renewal
  • Form ADV Amendments
  • Strategic Planning

Compliance Obligations

While each RIA needs to take responsibility for their RIA compliance obligations, we can help streamline and simplify compliance for you, your CCO, and the rest of your employees.

By registering with the SEC, an adviser becomes subject to a range of extensive provisions of the Advisers Act, including requirements to develop, implement, update and supervise a variety of compliance policies and procedures, including a code of ethics.  Implementing a compliance program is not a standard process, but rather requires customization to fit the particular business of an adviser.  A registering adviser should implement a compliance program and designing a plan in a timely manner. SEC-registered advisers are required to designate a chief compliance officer and to assess the adequacy and effectiveness of its compliance policies at least annually. While, newly registered advisers become subject to periodic and “for cause” examination by the SEC, which will focus on the records of the adviser and issue deficiency letters.

Our RIA consulting services team can help you build and implement a program that fits your particular business model. We provide solutions for both new and transitioning advisors, as well as established registered investment advisor (“RIA”) firms. From strategic planning through registration, we partner with advisors to assist in building a solid compliance foundation. For established firms, we provide the ongoing compliance, risk management and strategic support that enables advisors to focus on growing their practice.

To learn more about our services, contact us or call 1-404-841-1010.

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