RIA Compliance Consultants

You provide high-quality services and advice to your clients. Let RIA Registrar give your firm the best compliance support in the industry. Regardless of size or assets, all RIA firms must comply with state and federal regulations when providing financial advice, and these regulations are increasingly complicated. RIA Registrar’s services ensure your firm is continually in RIA compliance. At RIA Registrar, we implement numerous ongoing compliance solutions, including:

• Annual Reviews: RIA Registrar compliance consultants ensure that all documents are correctly prepared and forwarded to the proper agencies. Our team has experience with both state and SEC regulators. In the event of an audit, we not only provide advice regarding the documents required for the audit but also deal with the auditors as needed.
• Registration Reviews: We help you review your documents so that your records are always in compliance.
• Fiduciary Training: Continuing education is a vital part of RIA compliance. We offer ongoing fiduciary trainings solutions, including webinars and mock audits.
• Marketing Media: We asses all your RIA marketing media and provide advice to keep you within the parameters of SEC advertising rules.
• Books and Record Keeping: As a part of RIA Registrar’s record keeping services, we assist you in determining which RIA financial and administrative records to keep.

RIA registration and compliance is our specialty. You focus on yours: Generating revenue for your clients while running a profitable financial practice.

Get a Free Consultation Today