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  • SEC OR State Registered

RIA Compliance

Comprehensive compliance services for registered investment advisers from
emerging startups to established firms managing billions in assets. Powered by Compass, the only platform where AI is native to every workflow never just bolted on. Your Firm deserves nothing less

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$6k – $15k

206(4)-7 Annual Reviews

$6k – $15k/mo

Outsourced CCO (monthly retainer)

$200 – $300/hr

Training & Advisory

Reviews built to stand up to SEC and state examination scrutiny
Senior compliance leadership scaled to your firm’s size and complexity
CCO support from someone who has run RIA compliance programs – not just reviewed them

Reviews built to stand up to SEC and state examination scrutiny

Senior compliance leadership scaled to your firm’s size and complexity

CCO support from someone who has run RIA compliance programs, not just reviewed them

A Preview of Our RIA Advisory Engagements

While we deliver custom, full-scope consulting for firms of all sizes, here are a few examples of the core RIA compliance services we manage daily to ensure regulator-ready execution.

SEC Rule 206(4)-7 Annual Reviews

Comprehensive reviews of your RIA compliance program, including testing, documentation, and executive summaries crafted to satisfy SEC examination expectations.

  • Annual compliance program testing and documentation
  • Written policies and procedures gap analysis
  • Testing workpapers and executive summary reports
  • Best interest (Reg BI) and fiduciary standard review

Outsourced Chief Compliance Officer (CCO)

Ongoing compliance leadership for RIAs that want senior compliance leadership

  • Pre-SEC examination readiness assessments
  • Mock examination and desk review simulations
  • Gap analysis with corrective action planning
  • Ongoing compliance calendar management

Regulatory Filings

Comprehensive support for all RIA regulatory filings, including Form ADV updates, amendments, and U4/U5 filings for associated persons.

  • Form ADV Part 1, 2A, and 2B preparation and filing
  • Annual and other-than-annual ADV amendments
  • U4 and U5 filing coordination
  • IARD system management and compliance

Compliance Program Readiness

Pre-exam and pre-registration assessments identifying gaps in your policies, procedures, surveillance, and recordkeeping systems.

  • Form BD preparation and filing coordination
  • Business plan and compliance infrastructure buildout
  • FINRA examination preparation and response management
  • Post-NMA compliance program design

Training Programs

Custom compliance training for investment advisers, supervisors, and boards, including fiduciary obligations, Reg BI, and regulatory update sessions.

  • Annual compliance meeting coordination and documentation
  • Fiduciary standard and Reg BI training
  • Code of ethics and personal trading policy training
  • New hire compliance orientation programs

Code of Ethics & Personal Trading

Design, implementation, and annual review of code of ethics programs, pre-clearance systems, and personal trading surveillance tailored to your RIA.

  • Code of ethics drafting and annual review
  • Personal trading pre-clearance process design
  • Access person reporting and compliance
  • Annual attestation management

Service RIAs from Startup to $50B+ AUM, and everything in between.

Our flexible service model scales with your firm from startup RIAs building their first compliance program to established advisers managing institutional capital.

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