RIA Consulting

Examples of our Registered Investment Adviser consulting services include the following:

  • Chief Compliance Officer Training – Introductory investment advisory compliance training for your Chief Compliance Officer;
  • Procedures and Amendments – Ensuring you procedures are customized to your business;
  • Code of Ethics Training – Basic training regarding the code of ethics for your associated persons of your registered investment advisor;
  • Personal Trading Guidelines and Monitoring – Designing program to monitor personal trading of access persons and to ensure conflicts aren’t present;
  • Insider Trading – Ensuring that you properly implement a watch and restricted list;
  • Inventory of Risk – Designed to Monitor the risks that apply to your business;
  • Forensic Testing – Risk based program designed to identify compliance issues and to take appropriate corrective actions;
  • Ongoing Compliance Training – evaluation of firm training requirements and recommendations;
  • Disclosure Documents and Brochures – Review or creation of appropriate disclosure documents, including current Part 2, Schedule F, Schedule H, and the new ADV Part 2A and new disclosure format and requirements;
  • Custody Review – Many firms may be surprised at how easy it is to fall under the new custody rules and be required to conduct internal controls (SAS-70 or AT-601 Reports) or annual surprise audit;
  • Sample Documents – Sample documents such as a receipt form for the code of ethics, outside business activities disclosure form, personal securities transactions report, list of required books and records, customer privacy notice and customer Form ADV offer letter;
  • As-Needed Consulting – Our compliance consultants will be available for consulting regarding your registered investment advisor’s compliance issues on an as-needed basis;
  • Registrations and CRD Management – Ensuring your firm and individual registrations are monitored;
  • State Registration – Designed to inform you of the various state requirements;
  • IARD Renewals – Prepare and calculate your registered investment advisor’s licensing renewals; and
  • Form ADV Part 1A Annual Amendment – Prepare and file the Form ADV Part 1A Annual Amendment for your registered investment advisor’s fiscal year-end.

* This is not a complete list of your registered investment adviser’s compliance program.