RIA Compliance Group, LLC Email Format

Financial ServicesFlorida, United States2-10 Employees

RIA Compliance Group is a small financial services firm focused on helping registered investment advisers meet regulatory requirements. It offers retainer-based packages designed to fit a range of budgets, ensuring advisers pay only for services they need. The firm provides a suite of compliance offerings, including full-service SEC and state registrations, advertising content compliance, mock examinations, and ongoing compliance support.

Based in Boca Raton, Florida, the company positions itself as a practical, comprehensive resource for advisers seeking ongoing regulatory guidance. In 2016, RIA Compliance Group formed a strategic alliance with Pension Resource Institute to help clients understand fiduciary responsibilities under the DOL Fiduciary Rule.

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