Solution introduction
RIA Innovations realizes most advisors do not have much experience in the compliance area
Our product offering can perform compliance tasks. Staying compliant with changing federal and state regulations is essential to running a successful investment advisory business. We take the mystery and anxiety out of the process
You will retain control over your firm and compliance program. Levels of service are available at hourly or contract. We can eliminate the time you would have spent on compliance functions, so that you have more time to talk to clients and do prospecting.
Services offered
- New firm registration
- Regulatory filings
- ADV & amendments
- Annual compliance meeting
- Compliance procedures
- Certifications & testing​
- Ongoing compliance consultation
