Documentation and Review system for SEC and State-Investment Advisors
Stay ahead of compliance and get audit ready with our online platform. Providing valuable regulatory insights while delivering user-friendly firm compliance at scale. Save time and reduce unnecessary compliance costs and risks with RIA Review.
RIA Review is an easy to use digital tool for streamlining compliance for Registered Investment Advisors.
RIAReview is a simple, customizable solution for registered investment advisors. With features such as regulatory news updates, an automated compliance calendar, checklists, online forms and templates, your firm can leverage our system to help reduce discrepancies and/or fines from SEC, State, and FINRA regulators in a frictionless manner.
Stay abreast with regulatory changes, new requirements and updates which are critical for ensuring that the firm’s compliance obligations are met.
Create alerts for filings, client delivery, and document updates. Store data in our highly secure cloud storage to facilitate your firm’s audit preparation, aided by our library of checklists, forms, templates, agreements, and attestation documentation.
Reduce your risk, avoid fines and save firm costs with our online compliance review center; designed to help guide firm’s through the process of reviewing the effectiveness of their compliance programs.
RIAReview helps firms establish a time saving, simple, cost effective, yet highly streamlined compliance process management. The result? An efficient and flexible, solution which you can tailor in accordance to your unique business model and optimize your firm's data.
Our recorded webinar series library contains insight on regulatory topics such as: SEC/State Audits, Advertising, Reporting, Filing, Registration, documentation, and other hot topics (new).
Available to Premium and Premium Plus users only.
We will have more resources available for members of our FINCommunity. Contact us for updates.
Free
$0
For those who want to try it out
Premium
$1095 / year
For State Registrant
Premium Plus
$1295 / year
For SEC Registrants and State Registrants that require an annual review
Note* Pricing above is for Software services only. Consulting packages (Tier 1, 2, and 3) are priced separately and include a version of the software. Please inquire about our consulting services if interested under RIA Consults page.
Whether you are a large or small firm, SEC RIA, State RIA, Hybrid RIA/Broker- Dealer, or outsourced provider, this solution is tailor-made for your needs.
With an easy to use interface, RIAReview is a highly compatible and smart compliance management solution designed with the aim of minimizing RIA firm/client costs, while unlocking value compliance delivery, usability, interoperability with other systems and savings.
| Templates | Description | Shop |
|---|---|---|
| Investment Advisory Agreement | Portfolio management service contracts | |
| Financial Planning Agreement | Financial planning service contract | |
| Investment Consulting Agreement | Fixed Fee / consulting / hourly contracts | |
| Solicitor Agreement | Compensation arrangements between firm and third-party solicitors | |
| Policies/Procedures Manuals | Policies and procedures for SEC or State-registered firms |
Our goal is to help firms to establish a compliance management process that can be tailored to their unique business model.
Failure to file and/or pay registration fees.
Examiners can cancel registration — making it difficult to re-register or interrupt operations (e.g. stop collection of fees.
Use online calendar, alerts, or to-do list on our Dashboard.
Failure to maintain books/records
Regulators can fine the firm or stop operations
Use our secure cloud-based compliance directory to store files.
Failure to conduct a review of policies/procedures (Rule 206(4)-7 (SEC), Rule 38a-1 (registered funds), FINRA Rule 3010 (RIA/B-D’s).
Examiners can send a discrepancy (fix-it) letter or fine notice.
Use online calendar, checklists, and/or Review Center.
Failure to update/maintain client agreements.
Examiners can send a discrepancy (fix-it) letter or fine notice.
Use online forms to update, print, and file agreements.
Failure to conduct forensic testing or a review of risks.
Examiners can send a discrepancy (fix-it) letter or fine notice.
Use checklists to update and print out for documentation
Failure to supervise an access person/maintain code of ethics provisions.
Examiners can send a discrepancy (fix-it) letter or fine notice.
Use online forms for producing code of ethics documentation.
Failure to update ADV (Part 1A/B, 2A, and/or 2B).
Examiners can send a discrepancy (fix-it) letter or fine notice.
Use checklists or disclosure document forms.
Failure to register/notice file in other states.
Examiners can send a discrepancy (fix-it) letter or fine notice, and/or stop firm from conducting business in that state.
Use online calendar, alerts, or de-minimis checklist.
Failure to send in financial statements to state regulators (state firms with custody requirements).
Examiners can send a discrepancy (fix-it) letter or fine notice.
Use our calendar to set reminder for producing financial documents (GAAP reporting.
Failure to provide accurate invoices/ generate incorrect fees billing calculations.
Clients may be overcharged. Examiners can send a discrepancy (fix-it) letter, fine notice, and require reimbursing clients.
Use checklist for forensic testing of fees.
