Compliance and strategy
all in one place
Initial Registration
Get registered the right way, the first time. One flat package gets your firm launched and compliant from day one.
RIA Registration — “Launch with Confidence”
- Custom Compliance Manual & Disclosures (ADV 1A/1B/2A/2B, Form CRS)
- Includes up to 3 IARs — additional IARs $250 each
- $1,000 credit toward any ongoing tier when you enroll within 60 days of approval
- Standard timeline 4–8 weeks (rush option available at +25%)
Ongoing Compliance Tiers
Pick the level of support that fits your firm today — and scale up as you grow. All tiers include a baseline of 1 IAR + 1 Access Person and a 12-month minimum.
The essentials to stay on track: a compliance calendar, templates, quarterly check-ins, and ADV guidance.
- Compliance calendar & checklist
- Template library access
- Quarterly check-ins
- Basic ADV guidance
- 4 support hours/yr ($250/hr overflow)
Everything in Launch, plus a full annual review, ongoing ad reviews, and IARD & ADV management.
- Everything in Launch, plus:
- Full annual compliance review
- 12 ad/marketing reviews/yr
- Full IARD & ADV management
- Semi-annual email surveillance
- 16 support hours/yr ($250/hr overflow)
Everything in Propel, plus quarterly strategy calls, a mock audit, training, and unlimited ad reviews.
- Everything in Propel, plus:
- Quarterly strategic calls
- Remote mock audit & report
- Annual employee training
- Unlimited ad/marketing reviews
- 16 support hours/yr ($250/hr overflow)
Everything in Ascend, plus exam support, email monitoring, and a dedicated rep with a fast SLA.
- Everything in Ascend, plus:
- Exam support (up to 16 hrs/yr)
- Email monitoring
- Dedicated rep (24–48 hr SLA)
- Annual mock audit
- 16 support hours/yr ($250/hr overflow)
Pricing shown is a summary; final fees are confirmed in a written services agreement based on your firm’s scope. Not sure which tier fits? Talk to us and we’ll help you choose.