Packages


Tier 1

Comprehensive Compliance

  • Mock Audit
  • Review of entire process
  • Bi-Annual/Quarterly Review Package
  • RIA Registration
  • Web Services Available
  • Review online compliance software included*


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Tier 2

Ongoing Compliance

  • Annual Review
  • One-Time review of compliance documents
  • Switching from SEC to State (State to SEC) Registration
  • Web Services Available
  • Review online compliance software included*


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Tier 3

Basic Compliance

  • ADV Amendment Package (due: 90 days within fiscal year end for most advisors)
  • Miscellaneous Filings
  • Policies & Procedures Template (upon request)
  • Web Services Available
  • Review online compliance software included*
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Tier 1 - Comprehensive Compliance Mock Audit

Mock Audit

We make client visits to assist in any of the following:

  • Review of policies, books, and records
  • Review of client files; billing
  • Review of ADV
  • Review of agreements; transactions; client files
  • Review of trading (best execution); personal trading
  • Review of fee arrangements; accounts
  • Review of advertising; websites
  • Review of deliverables (reporting; questionnaires)
  • Review of data retention/recordkeeping (security; effectiveness)
  • Compliance Officer Training
  • Suggestions for improvements
  • Report

Frequency: One-time, Annually

RIA Registration

We assist in the following:

  • Assistance with FINRA Entitlement Form
  • Assistance with FINRA E-Pay Setup
  • ADV Part 1 (IARD Online)
  • ADV Part 2A & B Brochure
  • Investment Advisory Agreement
  • CCO Checklist (w/ general recordkeeping guidelines)
  • Privacy Policy Notice
  • Policies & Procedures Manual
  • Code of Ethics
  • Business Continuity Plan
  • Annual ADV Offer Letter
  • State Advertising Guidelines
  • Phone/Email Support

Frequency: One-time, New firms, New Entities

Reviews

We make client visits to assist in any of the following:

  • ADV Brochure
  • Filings
  • Website
  • Compliance Documents
  • Email Support; Phone Support
  • Basic CCO Training
  • Compliance Checklists
  • Compliance Reminders (monthly, quarterly, or annual)
  • Business Development Assistance
  • Business Strategy

Frequency: One-time, New firms, New Entities

Web services available         Review online compliance software included*

Tier 2 - Ongoing Compliance Annual Review

Annual Prep

We assist in the following:

  • Annual Review (one-time review/edit of compliance documents)
  • Annual ADV Updating Amendment/Updates
  • Annual Checklist (w/ state-specific requirements)
  • Phone/Email Support

Frequency: One-time, Annually

Switching Registration (SEC to State or Vice Versa)

We assist in the following:

  • Existing advisors only.
  • ADV Application: Part 1A, 1B, and updating Part 2A
  • Updating existing compliance documents w/ state or SEC information (if applicable)
  • Follow-up with regulators (as-needed)

Frequency: One-time, As-Needed

Web services available         Review online compliance software included*

*Clients prior to 6/1/2016 may update software as an add-on for a fee

Tier 3 - Basic Compliance

ADV Renewal/Filings

We assist in the following:

  • Flat rate for ADV Part 1A + 2A Brochure Amendment
  • Annual checklist
  • U-4, U-5, U-10, and other filings
  • State Di-Minimus filings
  • Policies & Procedures Manual (template available for extra fee)

Frequency: One-time, Annually, As-Needed

Web service available         Review online compliance software included*

*Clients prior to 6/1/2016 may update software as an add-on for a fee

RIA Consulting Packages