Our Services

Regulatory Compliance

Do you need a check-up? We offer comprehensive services in compliance for investment advisors, private funds, hedge funds, family office, and other buyside firms.
Either Comprehensive, On-Going or Ad-Hoc solutions available.

Compliance Services

  1. Develop Compliance Policies and Procedures Manual.
  2. Provide general compliance support.
  3. Filings (U-4, U-5, U-10, and others).
  4. Researching Bids.
  5. SEC/State Registration (e.g. switching from SEC to State).
  1. Form ADV review, ADV Part 1, 2A + B drafting, and amendments.
  2. OMS/CRM database maintenance.
  3. Business Development.
  4. Data Retention/Business Continuity Planning.
  5. Questionnaires.
  1. Preparing Compliance Calendar, Checklists, Updates.
  2. Marketing Materials.
  3. RIA New Advisor Transitional Work.
  4. Renewals/Amendments.
  5. Customized Calendar.

Online Compliance Management Software

RIA Review is an online software portal designed to help boutique investment advisors to structure, maintain, and develop their compliance programs. For State and SEC-Registered. Sign up on our site: http://riareview.com

RIA Review


  • Free (2 features - limited functionality)
  • Premium (7 features – online functionality
  • Premium Plus (10 features – full online functionality---)

RIA Review features including:


Resource for deliverables/deadlines

(All versions)


Resource for fees/state/SEC requirements

(All versions)


Alerts for your email and/or phone

(Premium, Premium Plus)


Advertising, Books/Records, Education

(Premium, Premium Plus)


Checklists to maintain compliance program

(Premium, Premium Plus)


Templates for compliance program

(Premium, Premium Plus)


Legal agreement for business operations

(Premium, Premium Plus)

ADV Formatter

Reformatting your ADV

(Premium Plus only)

Review Center

Manage/test compliance policies/procedures over 12 months

(Premium Plus only)


Cloud-based/other API functions

(Premium Plus only)

RIA Tech/Vendor Portal

RIA Products are an online resource of other products and services for your RIA.

Check out: http://RIAProducts.com

Features: Brokers/Trading, Insurance, Technology, Compliance, Deal Flow.

RIA Consulting Services