August 25, 2015

RIA Consulting Services

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 a decade, 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.

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

  • Expert Advice
  • 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
  • Regulatory liaison for regulatory matters