RIA Compliance

 

AdvisorLaw offers ongoing compliance to protect your RIA firm.

Is your current online "RIA template service" leaving you feeling exposed to a potential audit?

Are you confident that your ADV3/CRS forms are RegBI 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. AdvisorLaw can review, update, and ensure your firm is compliant with all current SEC and state regulations governing your RIA.

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.

We can help. Learn how.


Learn more about our comprehensive RIA services: 

AdvisorLaw RIA Services

Annual Compliance

What ongoing compliance services can AdvisorLaw tailor to your firm?

AdvisorLaw handles all outsourced compliance issues for RIA's on an annual basis, which include:

  • Updates to Form ADV (all parts), U4/U5 filings
  • Review and update RIA documents, including:
    • Written supervisory procedures
    • Privacy policy
    • Client advisory agreement
    • Information security policy
    • Code of ethics
    • Form 13F
  • Review of trades, email, business cards, stationary, and website to ensure compliance
  • Review of conflicts of interest, OBA's and disclosure
  • Annual amendment filing
  • Ad hoc testing
  • Outsourced CCO
  • Outsourced CFO
  • Outsourced compliance department
  • Automated program that pushes reminders and tasks
  • Year-round access to an attorney for questions via email and phone
  • On-site visits
  • Contract drafting and review
  • Vendor due diligence and review
  • Regulatory inquiry responses
  • CFP/CFA review and defense
  • Billing cycle, email, and advertising review
  • Remediation plans
  • Mock exams
  • Annual Compliance Reviews

Contact us to discuss AdvisorLaw's RIA Services.

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