Compliance for State Registered RIA firms

Independently owned RIA's only

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Our Compliance Services

For State Registered RIA Firms

Form ADV 2A

Custom tailored Form ADV 2A specific to your firm and your state.

Form ADV 2B

Custom tailored Form ADV 2B(s) for your firm's principals.

Form CRS

Customer or Client Relationship Summary, commonly known as Form CRS, which is customized to your firm.

IARD - CRD - eBill

Initial and ongoing updating of IARD/CRD and help with navigating eBill. Both Annual and other than annual amendments.

Initial Startup Licensing

Each state is different, but we have worked with eighteen (18) different states on inital licensing of RIA firms. AL, AR, AZ, CA, CT, FL, GA, IN, KY, MA, MI, MN, MS, NH, OH, TN, TX, and WI. We are not limited to these 18 states. We can work with all 50 states.

Additional State Licensing

When you are required to obtain licensing in a new state, then we spring into action. It does not matter which state you need licensing in as we can assist in all states.

Exam Response Assistance

State Securities Regulators routinely examine RIA firms. We know how to respond professionally and expeditiously to these requests.

Investment Advisory Agreements

Your IAA is the foundation of your business model. We help customize it to your firm and keep it updated with any needed changes.

Policies & Procedures

Policies and Procedures are living breathing documents that need to be created, reviewed periodically and updated.

Privacy Policies

We have a one page Privacy Policy that provides clarity to your clients.

Annual Updating Amendments

Every year, you are required to update and file your annual amendment in the IARD system before March 31st. We provide this service.

Other Than Annual Amendments

Throughout the year, you may need to update your documents and submit amendments through the IARD system. We provide this service as often as needed.