Below are some of the RIA-focused services we provide. Of course, our solutions go beyond what’s listed. Connect with one of our team members to learn more.

Registered Adviser Services:

• New RIA registration.
• Preparation and submission of Form ADV Parts 1 and 2.
• Preparation and submission of regulatory filings, such as Forms 13H and 13F.
• Annual updating to amendments and other required filings.
• Drafting, updating and reviewing written compliance manuals.
• Establishing written supervisory procedures.
• Evaluating RIA risk exposure related to regulatory compliance.
• Drafting point-of-sale disclosure documents
• Developing strategies and procedures to mitigate identified risks.
• Preparing RIAs for potential SEC or state regulatory examinations.
• Representing RIAs during examinations and responding to regulatory inquiries or findings.
• Reviewing marketing materials, website and advertisements to ensure compliance with regulations and aren’t misleading.
• Providing regular training sessions to RIA staff about the latest regulatory changes, best practices and compliance requirements.
• Drafting, reviewing and updating client agreements.
• Assisting with the creation and delivery of required disclosure documents.
• Implementing procedures to prevent misuse of non-public information.
• Reviewing personal securities transactions of employees to prevent conflicts of interest.
• Assisting RIAs in developing plans to address disruptions in their operations.
• Helping with the transition strategies for retiring RIAs or for the sale of an RIA business.
• Staying updated on any changes to securities laws and regulations and adjusting compliance programs accordingly.
• Advising on other specific issues such as custody, fees and fiduciary duties.

 

Broker Dealer Services:

• Drafting, updating and reviewing written compliance policies and procedures.
• AML testing and reporting.
• Annual compliance program testing and reporting.
• Annual and periodic updates to Form BD and branch filings.
• Form CRS drafting and reviews.
• Drafting point-of-sale disclosure documents.
• Error correction support.
• Reviewing advertising and marketing materials for compliance with FINRA advertising rules and requirements.
• Regulation Best Interest compliance support.
• Drafting, reviewing and updating client agreements.
• Representing broker-dealers during FINRA and SEC examinations.
• Support through FINRA complaints and arbitrations.
• Assistance in establishing KYC guidelines.
• Registered representative registration support.
• Support broker dealers through state examinations related to registered representative conduct.