RIA Compliance Consultants, Inc.

Financial ServicesNebraska, United States2-10 Employees

Comprised of experienced compliance professionals from the securities industry, RIA Compliance Consultants is a full-service consulting firm providing registration and compliance services for registered investment advisers.

For new investment adviser applicants, RIA Compliance Consultants offers a turn-key registration service. Our compliance consultants can serve as an investment adviser applicant's guide by explaining in detail the registration process and requirements, assisting the investment adviser applicant in structuring its investment advisory programs, and preparing investment adviser applicant's Form ADV. 

For existing registered investment advisors, RIA Compliance Consultants provides a full set of investment adviser compliance services, which include: Form ADV; client brochure; wrap brochure; solicitor arrangements; investment advisor registration renewals and Form ADV annual amendment; IARD service bureau; code of ethics and supervisory procedures; privacy policies and procedures; Section 13(f) filings; Form SH; advertising review; compliance training; annual review and compliance program assessment; and mock regulatory exams.

Please note that RIA Compliance Consultants is not a law firm and does not provide legal services.

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