RIA Innovations hires high caliber employees who work with advisors in order to ensure a smooth transition. We have an excellent team with extensive experience in the financial services industry. Our employees are fully set up with capabilities to engage with advisors whether they are physically present or virtual.
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Compliance
SERVICE OVERVIEW
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. A dedicated compliance team helps you stay on top of everchanging regulations. As CCO, you will retain control over your firm and compliance program but we can eliminate the time you would have spent on compliance functions, so that you can have more time to talk to clients and prospects.
PRICING STRUCTURE
4% per year of gross revenue for Compliance services (Min. $18K)
$5,000 flat fee for Initial RIA registration for up to 2 states
$5,000 flat fee for SEC registration
KEY FEATURES
Regulatory Exam Prep & Support | |
Response to Document Requests | |
Marketing & Advertising Reviews | |
Complaint Review & Response | |
Annual ADV Updates | |
Outside Business Activity Reviews | |
State and SEC Filings | |
Disclosure Requirements |