Ongoing compliance for RIAs
Registration is the starting line. The work that keeps a firm exam-ready is the calendar, the annual review, and the ADV updates that arrive every year.
Ongoing tiers give the firm a compliance calendar and checklist, a template library, annual reviews, and full IARD and ADV management with a partner who already knows the firm. Each tier includes a set number of support hours and a published hourly rate after that, so the bill is not a surprise.
What is included
- Compliance calendar and checklist
- Template library and annual review
- IARD and Form ADV management
- A set number of support hours, with overflow at a stated hourly rate
- Tiers that scale from a new registrant to a firm that wants a dedicated representative
Common questions
What does ongoing compliance include?
A compliance calendar and checklist, a template library, annual reviews, and IARD and ADV management, with support hours included in the tier you choose.
Where are the tier prices listed?
Launch, Propel, Ascend, and Apex are listed on the services page. Final fees are confirmed in a written services agreement.
Pricing for this work is on the services page. Also see RIA Registration, Marketing and Email Review, Mock Audits and Exam Support.