RIA Compliance Concepts
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2407 S Bagdad Rd, Leander, TX 78641, United States
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Boutique consulting firm offering affordable solutions to registered investment advisory firms
We're here to get you there
Boutique consulting firm offering affordable compliance solutions to registered investment advisory firms.
We are committed to providing cost-effective compliance solutions to meet our clients' needs of an ever-changing regulatory compliance environment.
RIA Compliance Concepts Solutions
Compliance Services
Form ADV amendments Correspondence reviews Trade surveillance/error reviews Check and transaction reviews Quarterly management fee calculation reviews Etc.... ...
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Initial setup of the FINRA IARD/CRD account Preparation, organization, and submittal of the various supplement documentation needed Creation of the Form ADV Part 2A and Part 2B disclosure brochures On-going consultations and communications with regulators during the registration application process CCO compliance training after your RIA is approved Etc... ...
