Solution introduction
If managing the compliance of your registered investment advisor (RIA) firm is taking up too much time, causing too much confusion, or you need advice — we can help
Advisor Guidance’s compliance services help RIA firms comply with today’s complex SEC and state regulations
While taking the time to understand your compliance challenges, our team designs a customized compliance program that gives you the tools you need to stay compliant.
As a baseline, our ongoing compliance services include an annual review, editing, and advice regarding the sufficiency of the firm’s advisory agreement, compliance manual, privacy policy, and registration services including preparation and filing of Forms ADV, U-4 and U-5.
As standard practice, all clients must agree to a minimum one-year commitment to be eligible for service.
