Investment & RIA Compliance Services in the USA
RIA Compliance for US Companies
Registered Advisor Services proactively helps your company remain compliant with federal and state regulations. As Registered Investment Advisors (RIA), we serve as your compliance consultation partner so you have more time to focus on the needs of your clients.
Investment Advisor Compliance Services
- Initial and annual review of your Form ADV Part 1, ADV Part 2A Brochure, ADV Part 2B Brochure Supplement, Form CRS (as applicable) and Wrap Fee Brochure for consistency among these documents.
- Initial review of your Client Agreement template for compliance with state and federal requirements
- Preparation of a customized Compliance Program including Written Supervisory Procedures, Code of Ethics, Privacy Policy, and Massachusetts Identity Theft Program
- Preparation of a Business Continuity and Succession Plan
- Prepare Annual Updating Amendment for Form ADV Part 1, including updating your Form ADV Part 2A Brochure and ADV Part 2B Brochure Supplement and Form CRS (as applicable)
- Annual review and amendment of your Investment Advisor Representatives’ Form U-4 (as applicable)
- Preparation and filing of your Investment Advisor Representatives’ Form U4 and U5 (as applicable)
We work proactively with your firm through the Renewal Process and re-registration of both your firm and your Investment Advisor Representatives for the upcoming year. Our experienced Professional offers hourly consultation sessions to guide you through policies and procedures, required regulatory filings, and all other compliance matters.
- Providing a Risk Assessment document to aid in the annual review and testing requirements of your Compliance Program
- Providing a Compliance Calendar and year-end Compliance Checklist for annual compliance filing requirements
- Providing a Forms Packet to help meet your compliance requirements
- Reviewing Marketing and Advertising materials, including websites
- Our Professional is available to answer your compliance questions as they surface in your practice
Based upon your needs, our Ongoing Compliance Services can be offered on an hourly or retainer basis. Contact us to learn more about how this service can benefit you! Visit our FAQ page for additional information.