PREPARE FOR REGULATORY CHANGES
With the rate at which the financial industry is changing, advisors may find it difficult to interpret regulatory changes. We strive to offer our clients a cost-effective solution. We take a "hands-on" approach, and if necessary, will contact regulators to find out an answer for you.
Since 2011, RIA Consults – Roberson Consults Group has served more than 160 SEC & State Registrants in the US and United Kingdom.
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Tier 1 Compliance Service
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Mock Audit
Review of firm books and records
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RIA Registration
Registration for new RIA's
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Quarterly/Periodic Review
Periodic Reviews of firm books/records, advertising, and overall training.
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Compliance Review
All packages come with RIA Review, our compliance management software. (Premium Plus)
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Tier 2 Compliance Service
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Review
Annual/Bi-annual review of compliance procedures; ADV Amendment multiple updates, and more.
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Registration/Transitions (SEC to State or Vice Versa)
Existing Advisors who need to change their registration status.
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Compliance Software
All packages come with RIA Review, our compliance management software (Premium or Premium Plus)
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Tier 3 Compliance Service
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Web CRD/IARD Filings
ADV Part 1A, 1B (State), 2A, 2B Brochure updates; U-4, U-5, U-10, and other filings
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Compliance Software
All packages come with RIA Review, our compliance management software (Premium or Premium Plus)
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