RIA Compliance Services

Stay ahead of the regulatory curve with professional compliance and regulatory support.

We offer two suggested service offerings: RIA Compliance Essentials™ and RIA Compliance Advantage™ (details below).

Of course, we are happy to develop a custom proposal for you as well.

Initial Assessment and Enhancement
Form ADV1 & ADV2. Review your Form ADV Part 1 & 2 for adherence to the applicable SEC/state(s) securities laws and consistency with your business model.
Form U4. Review filings for each of your Investment Advisor Representatives (“IARs”) for applicable registrations, business activities, and conflicts of interest.
Client Agreements. Review client investment advisory and financial planning agreements for consistency with business practices, regulations and other disclosures.
Privacy Policy. Review privacy policy for consistency with business practices, regulations and other disclosures.
Compliance Policies and Procedures. Review, enhance or replace policies and procedures to ensure their effectiveness in preventing, detecting and correcting violations of the securities laws.
Code of Ethics. Review your firm’s personal trading, gifts, conflict of interest and related policies.
Business Continuity Plan (BCP). Review your firm’s business continuity plan for business and compliance best practices, including disaster recovery, key person risk and employee communications.
Advertising Materials. Review your firm’s website, social media, presentations, and other client collateral for consistency with business practices, regulations, and proper disclosures.
Compliance Management Technology
Advisor Portal. Receive access to our proprietary AdvisorCloud™, a secure online system used to track the “Year in Compliance” and maintain all compliance tasks, testing, certifications, and compliance documents with a robust audit trail.
*The AdvisorCloud™can be customized to the needs of each Advisor.
Advisor Registration and Annual Review
Advisor Registration Documents. Maintain the registration materials for the Advisor with the applicable regulator(s).
Advisor Annual ADV Review. Review and update Form ADV for the annual filing requirements or upon material change(s) to the Advisor’s business practices.
Jurisdiction Review. Annual review of the jurisdictions in which the Advisor conducts business to ensure proper registration.
Cross Review. Reconcile ADV to client agreements and other related documents for consistency in approach and disclosures.
Annual Updates
Annual ADV Filing. Prepare and file amendments to Form ADV1, Form ADV2A and each Form ADV2B within 90 days following Advisor’s fiscal year end.
Annual ADV and Privacy Delivery. Guide the Advisor with the communications for the annual delivery of its compliance documents to clients.
Annual State Requirements. Assist with the annual requirements in the state(s) in which the Advisor conducts business.
IAR Registration(s) and Reviews
IAR Registration. Maintain the registration materials for each IAR, including interim updates of their Form U4, ADV2B, Form U5 (if departing), and social media profiles.
Firm Maintenance
Service Bureau for IARD/CRD. Serve as service bureau for your IARD/CRD Account, including ADV filings, U4/U5 filings, and administration of regulatory fees.
Year in Compliance
Compliance Calendar. Provide access to an online compliance calendar to map out a Year in Compliance including regulatory deadlines, compliance testing, and more.
Regulatory Monitoring. Monitor for SEC and state regulatory changes and provide specific guidance on how this may impact the Advisor.
Risk Assessment and Testing Provide topic-based risk assessments for all required policies and business practices
Monthly Compliance Emails Provide monthly compliance emails on regulatory requirements and best practices.
Newsletters Provide InSights™ newsletter via email.
Whitepapers. Access to complete library of our whitepapers on industry and regulatory topics.
Webinars. Priority, no cost access to webinars on emerging regulatory topics.
Compliance Certifications
Certifications Access to online tools to administer annual certifications including, Code of Ethics, Compliance Manual, Outside Business Activities, Social Media Policy, Cyber Security, and more.
Regulatory Audit Support
Audit Preparation. Assist in preparation for scheduled regulatory audit by reviewing audit request letter and setting expectations for the audit.
Document Preparation. Prepare responses for all compliance documents.
Compliance Meetings
Annual Compliance Meeting. Annual compliance call with the advisor and personnel to review current compliance requirements.
Quarterly Risk Assessment Meetings. Quarterly conference calls with Chief Compliance Officer and personnel to complete in-depth review of topic based risk assessments and/or other regulatory issues concerning the Advisor’s compliance program.
Professional Support
Email and Portal Support. Professional support through AdvisorCloud™ or email during normal business hours.
Phone Support. Professional support during normal business hours.
Flexible Services
Allotment of Consulting Hours. May be used to cover ad hoc compliance questions, comprehensive audit support, advertising reviews, business continuity planning, cyber security testing, and more.

Please call us at (617) 800-0388, Option 1 or complete the adjacent form to discuss your specific situation and obtain pricing for complex situations. If you are concerned with the timing and disclosure of your transition to your RIA, AdvisorAssist can often incubate your firm. Learn more about our RIA Transitions™ Incubation Service.