Compliance & Regulatory
Focus on what’s important. Your clients.
AdvisorAssist is there for you every step of the way. If you are establishing a new Registered Investment Advisor (“RIA”) or in need of support to manage your continued growth, AdvisorAssist is here to help. Our experienced Partners, with decades of experience in both the independent brokerage and registered investment advisor markets, will guide you through the myriad of decisions and complexities in running a compliant advisory practice. We offer customizable solutions based on the unique needs of your situation and business model.
- Featured Services
- Compliance for New Firms
- Compliance for Established Firms
SEC to State Transition
Are you a mid-size advisor that needs to transition from the SEC to State regulation? AdvisorAssist provides comprehensive services to help RIAs with the “Big Switch”. AdvisorAssist will support you every step of the way, from the determination of RIA and IAR registration requirements, updates to ADV 1 and ADV2, advisory agreements, compliance program updates and training on the securities laws in the various state jurisdictions.
Learn more about our SEC to State Transition services.
Compliance Advantage
Stay ahead of the regulatory curve with professional compliance support. Compliance Advantage™ is a customized compliance service that is tailored to meet the needs of your firm. The service establishes a “year-in-compliance” for your firm and supports you every step of the way.
Learn more about Compliance Advantage™.
Annual Registration Renewal
With our Annual Registration Service, our experienced professionals will review your RIA’s registration and ensure that your firm maintains proper registration with the Securities and Exchange Commission (“SEC”) and/or the State Regulators. AdvisorAssist will prepare and file Form ADV 1 and ADV 2 and make sure all documents meet the new regulations.
Learn more about our Annual Registration Renewal services.
Mock SEC and State Examinations
Are you prepared for a visit from the SEC or state regulators? Our regulatory professionals will perform an mock exam to ensure you are prepared for an SEC or state examination. We conduct our exams using the same tools and techniques as the regulators. Our exams will not only give you an indicator of your readiness for an exam, but will also provide best-practice suggestions specific to your firm.
Learn more about Mock SEC and State Examinations.
Social Media Compliance
Social Media is rapidly becoming a critical component in the growth and service model for the RIA marketplace. AdvisorAssist has been in the social media trenches, evaluating the risks, social platforms and tools to help you to Grow and Protect your firm. We provide actionable advice on the strategy, compliance and technology requirements necessary for a successful social media strategy.
Learn more about Social Media.
Get the support you need to build and maintain your firm. AdvisorAssist’s customizable Compliance Support solutions to meet your ongoing compliance and regulatory challenges. Our professionals provide a structured compliance program and/or customized consulting services to keep you ahead of the regulatory curve.
Compliance Program Design
Rule 206(4)-7 of the Investment Advisers Act of 1940 requires the Chief Compliance Officer (“CCO”) of an RIA firm to implement a compliance program that is effective in preventing violations of federal and state securities laws.
AdvisorAssist will partner with your CCO to design, implement and train your team on all of the compliance rules and regulations.
Compliance Advantage
Stay ahead of the regulatory curve with professional compliance support. Compliance Advantage™ is a customized compliance service that is tailored to meet the needs of your firm. The service establishes a “year-in-compliance” for your firm and supports you every step of the way.
Learn more about Compliance Advantage™.
Social Media Compliance
Social Media is rapidly becoming a critical component in the growth and service model for the RIA marketplace. AdvisorAssist has been in the social media trenches, evaluating the risks, social platforms and tools to help you to Grow and Protect your firm. We provide actionable advice on the strategy, compliance and technology requirements necessary for a successful social media strategy.
Learn more about Social Media.
Design your Compliance Policies and Procedures
Written Supervisory Procedures are the foundation of your RIA Compliance Program. Every RIA must have a compliance program in place to prevent, detect and correct any violations of aplicable federal and state securities laws. AdvisorAssist will develop a tailored Compliance Manual to written in an actionable, plain-English format. A complete compliance manual includes: RIA Code of Ethics (“COE”), Privacy and Information Security Policies (“WISP”), Business Continuity Plan (“BCP Plan”), and all areas of your operation from marketing to trading to books and records.
Advertising Review
AdvisorAssist can demystify the complex advertising rules. We provide comprehensive baseline and ongoing review services to help you grow and protect your RIA.
The primary advertising rule, Rule 206(4)-1 requires advisors to follow vague and complex rules regarding advertising and promotion of their RIA firm.
Our professionals can provide one-time or ongoing review services to keep you in compliance. We also offer services for website development, search engine promotion and training on how to safely promote yourself in the new, connected social world.
Compliance Advantage
Stay ahead of the regulatory curve with professional compliance support. Compliance Advantage™ is a customized compliance service that is tailored to meet the needs of your firm. The service establishes a “year-in-compliance” for your firm and supports you every step of the way.
Learn more about Compliance Advantage™
SEC to State Transition
Are you a mid-size advisor that needs to transition from the SEC to State regulation? AdvisorAssist provides comprehensive services to help RIAs with the “Big Switch”. AdvisorAssist will support you every step of the way, from the determination of RIA and IAR registration requirements, updates to ADV 1 and ADV2, advisory agreements, compliance program updates and training on the securities laws in the various state jurisdictions.
Learn more about our SEC to State Transition services.
Annual Registration Renewal
With our Annual Registration Service, our experienced professionals will review your RIA’s registration and ensure that your firm maintains proper registration with the Securities and Exchange Commission (“SEC”) and/or the State Regulators. AdvisorAssist will prepare and file Form ADV 1 and ADV 2 and make sure all documents meet the new regulations.
Learn more about our Annual Registration Renewal services.
Form ADV2 – “Plain English”
The SEC recently adopted amendments to Part 2 of Form ADV and related rules that require investment advisors to prepare a “Plain-English” narrative brochure and brochure supplement to replace the antiquated Form ADV II and supporting schedules. We can help your firm adhere to these new requirements.
Learn more about our Form ADV2 – “Plain English” services.
Mock SEC and State Examinations
Are you prepared for a visit from the SEC or state regulators? Our regulatory professionals will perform an mock exam to ensure you are prepared for an SEC or state examination. We conduct our exams using the same tools and techniques as the regulators. Our exams will not only give you an indicator of your readiness for an exam, but will also provide best-practice suggestions specific to your firm.
Learn more about Mock SEC and State Examinations
Social Media Compliance
Social Media is rapidly becoming a critical component in the growth and service model for the RIA marketplace. AdvisorAssist has been in the social media trenches, evaluating the risks, social platforms and tools to help you to Grow and Protect your firm. We provide actionable advice on the strategy, compliance and technology requirements necessary for a successful social media strategy.
Learn more about Social Media.
Independent Assessments
How effective is your compliance program? Rule 206(4)-7 requires the Chief Compliance Officer (CCO) to assess the effectiveness of the compliance program at least annually. Our professionals can provide your RIA structured assessment ensure your firm is meeting all regulatory requirements.
Learn more about Independent Assessments
Compliance Program Design
Compliance Program Design. Our experienced professionals can design a compliance program designed not only to meet the regulatory requirements, but one that is specific to
your business practices. We help you to develop strong, but practical programs.
Compliance Manuals
Compliance Manual (Written Supervisory Procedures). We develop customized compliance manuals that accurately reflect how you do business. Canned procedures are no longer an acceptable. The regulators are levying significant fines for failure to implement a sound compliance program.
IARD Service Bureau
IARD Service Bureau – Annual and Interim Updates. AdvisorAssist takes over the burden of managing the registration and and updates of your firm and investment advisor representatives, including ADV Part1, ADV Part 2A (“Disclosure Brochure”), ADV 2B (“Brochure Supplement”), Form U-4, Form U-5 and Form U-10. Our professionals will ensure all necessary registrations and updates are made via the IARD/CRD system and maintain an audit trail of all changes for your compliance books and records.
Conflicts of Interest Review
Conflicts of Interest Review. All advisory firms have some inherent conflicts of interest in their operation. The challenge is identifying those conflicts, mitigating the risk to your firm resulting from the conflicts, properly disclosing the conflicts to your clients and monitoring the impact on your business. We can help.
Investment Company Services
As the deadline for your Annual Rule 38a-1 Compliance approaches, it is time to consider the effectiveness of your mutual fund’s compliance program.
Learn more about Investment Company Services
