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Did you know that only 36% of RIA firms have a dedicated chief compliance officer (CCO)? It’s no wonder that compliance teams across the country are being stretched so thin. With work-from-home still commonplace and more and more rule changes from the SEC and DOL on the horizon, choosing the right compliance team has become more important than ever.
AdvisorLaw specializes in offering both SEC and state-registered RIA compliance consulting, at varying levels of support. No matter what your needs are, AdvisorLaw can help you accomplish them.
Ongoing Compliance
Are you looking for essential compliance support and assurance? Are you in need of guidance regarding a specific rule?
AdvisorLaw’s Ongoing Compliance services provide RIAs with proficient, live support that helps prepare for the scrutiny of an SEC or state exam. Through advanced technology integration, we offer efficient automation and full control. This level of compliance includes policies and procedures reviews, customized calendars, ongoing reviews and updates, annual filings, and more.
Enhanced Ongoing Compliance
Are you buried in email reviews, trade monitoring, attestations, and reports? Don’t have the time or space to add another team member?
AdvisorLaw’s Enhanced Ongoing Compliance option adds another level of support by providing email and trade reviews, as well as extensive reporting tools. Although our technology is complex, we make the compliance process as simple and straightforward as possible, so you can get back to what you do best — leading your business.
Outsourced CCO
As CCO, do you find yourself bogged down when you should be in rainmaker mode?
Let AdvisorLaw serve as your Outsourced CCO. In addition to the base salary and bonus structure that top CCO candidates demand, ancillary expenses can push the overall cost of a CCO to $150,000 or more, per year. That’s why many high-performing small RIAs are beginning to embrace the outsourced CCO model. We take the headache out of the equation and offer a flat monthly fee to obtain the expert compliance oversight you need, while also affording your business the ability to take a tax deduction for professional services.
AdvisorLaw’s RIA division oversees the compliance needs of RIA clients around the nation with over $30 billion in collective AUM. We specialize in helping RIA owners become more flexible and focused on growing their businesses. We know that there are some things only you can do — but the compliance thing? We’ve got that covered.
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- Juris Doctorate from the University of Denver Sturm College of Law
- Former FINRA licenses Series 7, 63, and 24 and former Colorado life and health insurance license
- Bachelor of Arts in Philosophy from the University of Colorado
- Why RIAs Should Consider Outsourced Chief Compliance Officers - September 14, 2023
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