RIA Compliance



PartnerProgram Provides Ongoing Compliance Support

For registered investment advisers interested in ongoing compliance support, Regulatory Compliance offers three programs that can help ensure that advisory clients stay on track with existing compliance requirements and new regulations.

PartnerPro provides the essential compliance tools and resources, including a “go-to” contact who can address your firm’s specific questions, information on new regulations, and monthly tools to assist with compliance testing.

PartnerPlus includes all of the services available in PartnerPro as well as a structured, comprehensive compliance program designed to proactively address all of your firm’s compliance needs.

PartnerElite is a highly customized compliance program tailored to the compliance and operational aspects of your firm and is designed to fit the specific needs of your
firm’s business.

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Comprehensive Investment Adviser Compliance Services

SEC and State Registration Services

Registering your investment adviser can be a complex and time-consuming process. As experts in investment adviser registration, we know what to expect. Our experienced professionals will prepare your application, working closely with you and your regulator to ensure the successful and timely registration of your firm.

Support for New Investment Adviser Applicants

From your investment adviser firm’s registration to its ongoing operation, the knowledgeable investment adviser compliance professionals at Regulatory Compliance can provide targeted or continuing compliance support.

  • Total registration support, from CRD/IARD assistance to registration approval, we assist step by step
  • Written supervisory procedures customized to match your firm’s business model
  • Completion or review of ADV Part 1 and ADV Part 2A and Part 2B
  • Ongoing compliance support through our PartnerProgram
  • General compliance consulting

Customized WSP Manual

Customization of your firm’s written supervisory and procedures (WSP) manual goes well beyond inserting your firm’s name into pre-written text. Regulatory Compliance will prepare a written compliance policies and procedures manual that meets regulatory requirements and addresses the conflicts and risks specific to your firm’s operations.

Customized Examinations and Testing

Discover if you have compliance issues before an examiner arrives. Our investment adviser compliance experts conduct thorough exams and testing to uncover potential problems, so your firm can resolve issues before a regulatory examination.

  • SEC or state mock examinations
  • 206(4)-7 annual compliance testing
  • Books and records examinations

Comprehensive Compliance Consulting

• Customized WSP manual • CCO training
• Compliance consulting • ADV preparation and filing
• Risk assessment • Exam preparation
• Compliance examinations • Web IARD/CRD services
• Advertising review • Form PF filing
• 206(4)-7 testing • Form CPO-PQR filing
• Customized compliance   calendar • CPO-CTA compliance   requirements

You don’t know what you don’t know.
We’re here to help.

To learn more about any of our compliance services, click here or call toll-free (888) Reg-Comp (888) 734-2667.