AdvisorLaw offers ongoing compliance consulting support to wealth managers and Registered Investment Advisers (RIA) firms with over $40 billion in assets.

Is your current online "RIA template service" leaving you feeling exposed to a potential audit? Are you confident that your ADV/CRS forms are compliant and will stand up to an SEC review?

Back when you started your RIA, you may have taken the quick route by garnering all of your initial paperwork, policies, and procedures through one of the many online document creation companies using the same boiler-plate template for every conceivable situation.

Next thing you know, your firm is 10 years down the line and you have not had the time to review or revisit those old forms to ensure they are compliant with current SEC regulations. Outsourcing the most critical of your compliance needs will ultimately help you sleep at night knowing that your firm has the highest protection against scrutiny of regulatory audits.

AdvisorLaw’s compliance team includes both securities attorneys and certified securities compliance professionals (CSCP). We stay ahead of SEC and state regulatory changes so you can focus on building your practice. If you have any questions — call us — our compliance services include a complimentary attorney consultation.

What ongoing RIA compliance services can AdvisorLaw tailor to your firm?

We provide a custom portal and task workflow to make task management and reporting easy. Through advanced technology integration, we offer efficient automation and full control. AdvisorLaw can help your RIA stay compliant with all current SEC and state regulations. We have clients in all 50 states including Washington, D.C. and Puerto Rico.

AdvisorLaw's Ongoing Compliance services include:

  • updates to form ADV (all parts)
  • review & update RIA documents including:
    — policies & procedures manual
    — privacy policies
    — investment advisory agreements
    — cybersecurity policies
    — code of ethics
    — business continuity plan
  • marketing reviews (10 hours annually)
  • support email & trade reviews
  • review of conflicts of interests, outside business activities, & disclosures
  • task reminders
  • all required filings (U4 & U5)
  • year-round access to an attorney for questions
  • quarterly & annual compliance program reviews

AdvisorLaw's Enhanced Ongoing Compliance services include:

  • email reviews
  • trade monitoring & reviews
  • collect annual attestations
  • review personal transactions

Outsourced Chief Compliance Officer (CCO):

AdvisorLaw can streamline the compliance process.

Is your Cybersecurity service meeting all of your business's needs?

Get peace of mind. Outsource your RIA's Chief Compliance Officer (CCO).

RIA Compliance Brochure

Interested in learning more about our RIA compliance services? Contact us for a complimentary consultation by filling out the form below:

RIA Compliance

Contact us to discuss AdvisorLaw's RIA Services.

The consultation is complimentary, and our services were created exclusively for financial advisors

(303) 952-4025