Packages - RIA Consults

Our Packages

 

TIER 1 TIER 2 TIER 3
Comprehensive Compliance
Ongoing Compliance
Basic Compliance
  • Mock Audit
  • Review of entire process
  • Bi-Annual/Quarterly Review Package
  • RIA Registration
  • Web Services Available
  • online compliance software included*
  • Annual Review
  • One-Time review of compliance documents
  • Switching from SEC to State (State to SEC) Registration
  • Web Services Available
  • online compliance software included*
  • ADV Amendment Package (due: 90 days within fiscal year end for most advisors)
  • Miscellaneous Filings
  • Policies & Procedures Template (upon request)
  • Web Services Available
  • online compliance software included*

 

 

 

Tier 1

Comprehensive Compliance

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,

Tier 2

Ongoing Compliance

Annual/Bi-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

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 De-Minimis filings
Policies & Procedures Manual (template available for extra fee)

Frequency: One-time, Annually, As-Needed
Software Included: All packages include a version of RIA Review compliance software.

 

 

Enterprise

Our enterprise integration division, RegConsults develops customized and/or white labeled compliance tools for other Fintech businesses. Are you a FinTech, Financial Services, Investment, Crypto, or financial blockchain firm that needs to build a compliance infastruture?

Services Inlude:

  • Documentational monitoring
  • Transaction monitoring
  • ...more

Process:

  • Review regulatory framework
  • Discussion of rulemaking parameters/audit procedures
  • Implementation with your IT/tech team for platform creation

Models: