C O M P L I A N C E
RIA Innovations realizes most advisors do not have much experience in the compliance area. Our product offering can perform compliance tasks. Staying compliant with changing federal and state regulations is essential to running a successful investment advisory business. We take the mystery and anxiety out of the process.
You will retain control over your firm and compliance program. Levels of service are available at hourly or contract. We can eliminate the time you would have spent on compliance functions, so that you have more time to talk to clients and do prospecting.
SERVICES OFFERED
New firm registration
Regulatory filings
ADV & amendments
Annual compliance meeting
Compliance procedures
Certifications & testing
Ongoing compliance consultation
