PREPARE FOR REGULATORY CHANGES

With the rate at which the financial industry is changing, advisors may find it difficult to interpret regulatory changes. We strive to offer our clients a cost-effective solution. We take a "hands-on" approach, and if necessary, will contact regulators to find out an answer for you.

Since 2011, RIA Consults – Roberson Consults Group has served more than 160 SEC & State Registrants in the US and United Kingdom.

We specialize in services for

Registered Investment Advisors | Financial Planners | Private Fund Advisors | Robo-Advisors | Fund Managers | FinTech Entrepreneurs

Overview of Services

Tier 1 – Comprehensive Compliance

Mock Audit

We can assist in any of the following:

Review of policies, books, and records
Review of client files; billing
Review of ADV
Review of agreements; transactions; client files
Review of trading (best execution); personal trading
Review of fee arrangements; accounts
Review of advertising; websites
Review of deliverables (reporting; questionnaires)
Review of data retention/recordkeeping (security; effectiveness)
Compliance Officer Training
Suggestions for improvements
Report/summary

Frequency: One-time, Annually

RIA Registration

We assist in the following:

Assistance with FINRA Entitlement Form
Assistance with FINRA E-Pay Setup
ADV Part 1 (IARD Online)
ADV Part 2A & B Brochure
Investment Advisory Agreement
CCO Checklist (w/ general recordkeeping guidelines)
Privacy Policy Notice
Policies & Procedures Manual
Code of Ethics
Business Continuity Plan
Annual ADV Offer Letter
State Advertising Guidelines
Phone/Email Support

Frequency: One-time, New firms, New Entities

Reviews

We assist in any of the following:

ADV Brochure
Filings
Website
Compliance Documents
Email Support; Phone Support
Basic CCO Training
Compliance Checklists
Compliance Reminders (monthly, quarterly, or annual)
Business Development Assistance
Business Strategy

Frequency: Quarterly

Tier 2 – Ongoing Compliance Annual Review

Annual / Bi-Annual Prep

We assist in the following:

Annual Review (one-time review/edit of compliance documents)
Annual ADV Updating Amendment/Updates
Annual Checklist (w/ state-specific requirements)
Phone/Email Support

Frequency: One-time, Annually

Switching Registration
(SEC to State or Vice Versa)

We assist in the following:

Existing advisors only.
ADV Application: Part 1A, 1B, and updating Part 2A
Updating existing compliance documents w/ state or SEC information (if applicable)
Follow-up with regulators (as-needed)

Frequency: One-time, As-Needed

Tier 3 – Compliance Service

Disclosures / Filings

We assist in the following:

Flat rate for ADV Part 1A + 2A Brochure Amendment
Annual checklist
U-4, U-5, U-10, and other filings
State De-Minimis filings
Policies & Procedures Manual (template available for extra fee)

Frequency: One-time, Annually, As-Needed

Software Included: All packages include a version of RIA Review compliance software.

Software Included: All packages include a version of RIA Review compliance software.

Enterprise

Regulatory-Research Projects

Our enterprise integration division, RegConsults develops customized and/or white labeled compliance tools for other Fintech businesses.

Are you a FinTech, Financial Services, Investment, Crypto, or financial blockchain firm that needs to build a compliance infastruture.

Frequency: One-time, Annually, As-Needed

Process:
Review regulatory framework
Discussion of rulemaking parameters/audit procedures
Implementation with your IT/tech team for platform creation

Models:
Financial Networks, Robo Advisory, B2B, B2B2C, B2C
Contact Sales for more information: cory@riaconsults.com or (650) 305-2688