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.
Everything a state-registered firm needs, from initial assessment to ongoing monitoring.
- A full initial assessment of all current compliance documents and regulatory filings
- Form ADV and Investment Adviser Registration Depository (IARD) guidance and management
- A rolling compliance calendar
- A monthly compliance checklist
- Quarterly compliance reports
- Ongoing advertising reviews
- Code of Ethics administration with access person reporting
- Email review support for firms supervising other access persons (requires third-party email review software that the firm provides and grants us access to; we will recommend a system if needed, and software costs are not included in our fees)
- Written compliance policies
- Remote examination support (helping you prepare requested documents and assisting in drafting responses to regulator questions for your firm to review and submit to the regulator; our team does not attend examinations on site)
- Pay-to-play rule monitoring
- State registration and annual renewal management
- Ongoing monitoring of Securities and Exchange Commission (SEC) registration eligibility
- Review of your current write once, read many (WORM) compliant storage for books and records and your communication archiving system for email, text messages, and social media, or help selecting them (software costs are not included in our fees)
- 4 support hours/yr ($250/hr overflow)
Everything in Launch, plus SEC Marketing Rule reviews, Form CRS, and the annual compliance program review.
- Everything in Launch, plus:
- SEC Marketing Rule reviews (including testimonials, endorsements, and third-party ratings)
- Client Relationship Summary (Form CRS) preparation and updates
- Regulation S-P incident response program support
- State notice filing management
- The annual compliance program review required under SEC Rule 206(4)-7
- If applicable, Electronic Data Gathering, Analysis, and Retrieval (EDGAR) account setup and submission of required schedules and filings
- 16 support hours/yr ($250/hr overflow)
Everything in Propel, plus priority scheduling and response, a virtual mock audit (an onsite mock audit is available, with travel expenses paid by the firm), training on basic compliance topics, and unlimited advertising 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 white-glove remote exam management, full email and communication surveillance, and a dedicated representative with priority response times.
- Everything in Ascend, plus:
- White-glove examination management, all provided remotely: your dedicated representative serves as your exam coordinator, guiding your firm from the first document request through exam closeout
- A pre-exam readiness review
- Scheduled virtual check-ins throughout the exam
- Priority turnaround on document productions and draft responses for your firm to review and submit
- A post-exam debrief with a plan to address any findings
- Full email and communication surveillance performed by our team using your firm’s subscribed system (we will recommend one if needed; software costs are not included in our fees)
- A dedicated representative with priority response times
- 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.