RIA Compliance Group
HQ Address
5301 North Federal Hwy., Suite 380, Boca Raton, FL 33487, United States
Website Address
Business introduction
Compliance solutions for registered investment advisers
RIA Compliance Group assists newly registered and established registered investment advisers in all areas of regulatory compliance. In addition to initial registration services, we provide ongoing operational and compliance support services to small and midsized registered investment advisers. We take pride in giving practical compliance advice, not theoretical concepts and legalese. Too many registered investment advisers rely on RIA compliance consulting firms that understand SEC regulations but don’t have hands-on experience with state regulators. We interact with state securities regulators on a continuous basis and are aware of the specific regulations governing your practice.
The SEC and most states require each registered investment adviser to review its policies and procedures annually to determine the adequacy and effectiveness of their implementation. RIA Compliance Group offers on-site and off-site examination services that assist investment advisers in meeting their annual review requirement and provides an analysis of the adviser’s readiness for a full regulatory exam from either the SEC or the States.
Our RIA compliance consulting team has over 60 years of combined securities compliance experience. We are able to assist independent and hybrid investment advisers of all levels of complexity. RIA compliance software isn’t a substitute for personalized service or human interaction. RIA Compliance Group believes in a personalized consulting experience whereby our clients have round the clock access to their consultants. All our documents are drafted in Word format to make sure our clients have full control and complete ownership of their documents.
RIA Compliance Group Solutions
Advertising Content and Compliance
By working with RIA advertising compliance consultants, you can make sure your advertisements follow the guidelines to be compliant with the SEC rules. We find that many clients, especially new advisers, don’t know where to begin and what disclosures are necessary. For that reason, we offer assistance in creating content......
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view solutionCustomized Compliance Policies and Procedures
These RIA compliance policies and procedures are designed to protect investors and prevent violations of the securities laws, rules and regulations. By working closely with advisers and guiding them, the consultants at RIA Compliance Group help firms to establish the ground rules for investment adviser representatives and other associated persons. Below......
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view solutionCybersecurity Program For RIAs
Because regulators have made cybersecurity policy a high priority, investment advisers must be prepared to demonstrate what steps they have taken to fulfill their obligations in this area. Designed for use by small and mid size investment advisers, RIA Compliance Group’s Cybersecurity Readiness Program can help investment advisers get ready for......
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view solutionFull Service SEC and State Registration
Furthermore, an RIA’s Form ADV disclosure brochure must be written in plain English and in language that unsophisticated investors will understand. RIA Compliance Group will work hand-in-hand with you, so that your Form ADV is spot on and captures what makes your firm different from other advisers. A carefully constructed......
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view solutionMock SEC and State Examinations
In many instances, firms will only have a few days to prepare for an in-depth examination. RIAs may be required to supply hundreds of documents with short notice. With so much at stake, RIAs need not go it alone. RIA Compliance Group can assist you in preparing for the most difficult exam.......
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view solutionOngoing Compliance Assistance Program
Each consulting package provides consulting hours that you can use for any investment advisory compliance issue that arises. No matter what questions or problems you encounter, you can call upon an RIA Compliance Group consultant for guidance and recommendations. We show you how to utilize your consulting hours most effectively. We......
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view solutionSmart RIA Compliance Software
RIA Compliance Group offers a customized version of the software that is designed to meet the compliance needs of small and midsized RIAs. Our custom software solution allows specialized features that include, but are not limited to: Automated registration/notice filing monitoring Monthly compliance review tools Customized compliance calendar Secure, cloud based document storage Etc... ...
