Compliance & Oversight

Complimentary Consultation

Do you find your staff taxed by the effort required to comprehend the intricate and dynamic regulatory requirements of your RIA? 

AdvisorLaw’s RIA Compliance Services and Nexus platform alleviate that burden by minimizing the time and energy needed to satisfy your obligations and execute them in a compliant manner.

Streamlining the Complicated Requirements for Compliance & Oversight

The regulatory landscape facing RIAs has changed dramatically over the last two years. As this is new territory, many RIAs may not know where to begin.

Our Nexus platform offers management and compliance unmatched control over the user experience, thanks to the user-management system. Our team of attorneys and compliance analysts have full access to navigate the intricacies of the Nexus platform, while your RIA’s advisors can be provided with a streamlined access and interface to simplify and facilitate their use of the platform. Nexus provides detailed monitoring capabilities that offer reliability superior to the spreadsheet monitoring typically used in the industry. Nexus’s compliance and supervision modules are powered by sophisticated, integrated, and customizable rule sets — to facilitate your everyday compliance needs. The resulting strategy is all-encompassing and exhaustive, with the ability to reduce the number of people required to manage your RIA’s compliance.

Transparency & Responsibility

Our Nexus platform gives management the ability to more efficiently address tasks and responsibilities, assist advisors in upholding their fiduciary responsibilities, and focus on preserving SEC, State, DOL, and any other applicable regulatory-scheme compliance. More than 150 different types of reports are available for use in Nexus’s reports center, and those reports can be employed for both daily business and to prepare for different audit scenarios. AdvisorLaw’s RIA Compliance team can conduct mock audits and counsel your RIA in preparation for an audit.

Nexus’s RIA compliance features include:

  • enforcement tools
  • AML capabilities (FinCen OFAC, KYC)
  • surveillance exceptions and reporting
  • audit reporting
  • check, signature, and securities-blotter systems
  • Form ADV adherence
  • restricted-securities review capabilities
  • various alerts, including: reverse churning, high-cash balance, leveraged holding, misalignment (objectives v. portfolio allocation), asset-concentration, exceeding max client fees, etc.

Improving workflow and procedures.

Supporting RIAs' foundational needs.

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Nexus’s supervision features include:

  • risk-based transaction review (Smart Blotter™)
  • firm-defined transaction color coding
  • extensive, firm-defined transaction review and assignment capabilities
  • IAR and firm state-registration checks on every transaction
  • the ability to delegate certain CCO tasks

Nexus’s reporting features include:

  • 150+ standard reports, accessible to advisors
  • configurable views with arbitrary column and group selections
  • customized reports, upon your RIA’s request
  • connections to business intelligence reporting software, such as PowerBI

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

RIA Compliance & Oversight

Contact us to discuss AdvisorLaw's RIA Services.

The consultation is free, and our services were created exclusively for financial advisors
(303) 952-4025