What services does RIA-CCO.com provide?
RIA-CCO provides customized compliance documents (with an online secure vault for storage and easy access), registration services (State and SEC filing), and customized website creating services to firms of all sizes.
We help investment advisors who are starting their own RIA with the required documentation for State & SEC compliance. We customize our products to your specific needs, from the smallest projects to full compliance ongoing CCO services, we are flexible, dedicated and cost effective. We handle compliance paperwork from “A to Z” to allow you to focus on your business while being confident you’re in full compliance with the most up-to-date State and Federal securities regulations.
Do I need a compliance consultant, or can I do it myself?
It is always possible to take the time and manage your compliance paperwork; or register your RIA firm by yourself. However, we find many firms prefer to outsource the responsibility to us, due to the changing complex regulatory environment, and the fact they want to focus on their business, not compliance!
We offer years of expertise and dedication to efficiently and proactively manage your firm’s registration and compliance requirements in a cost-efficient manner. Beginning with the decision to start your own RIA firm and spanning the ongoing requirements, Form ADV updates, registration renewals, preparing for regulatory audits, time allocated to compliance and operations limits your ability to serve clients and grow your business.
Can RIA-CCO help me build my own customized RIA website and make sure it is in compliance?
YES! This is another integral part of RIA-CCO. It is essential how to have a website and the direct marketing communication of social media to grow your RIA. We have a dedicated Chief Technology Officer (CTO) wo can help you do just that. We work with you, hand-in-hand, to customize your website, your brand, your logo, any needs you have for a complete online presence you can build your business upon.
Why should my firm work with RIA-CCO?
RIA-CCO is focused on serving the independent registered investment adviser (RIA) industry. We provide specialized regulatory and compliance expertise, in combination with marketing guidance (social media website package). We believe that the best and most effective RIA compliance solution is one which pairs the top-notch human expertise of years in compliance, with effective compliant online marketing.
By outsourcing the required compliance aspect of your RIA, and with the help of our marketing expertise, you are able to focus on your clients and grow your firm.
How much do the RIA-CCO services cost?
We stand out by being completely flexible and transparent. We can help firms with any project. Whether you only need a Compliance Manual, a Website, SEC or State filing, or ongoing help with it all, we can customize the right package at the right cost for you.
What size firms does RIA-CCO work with?
Your dedicated RIA-CCO compliance specialist has worked with RIA’s of all sizes. She has compliance expertise with Hybrid RIA’s over $2Bil AUM. She’s also supported start-up fee-based only RIA’s from the ground up who are registered solely with their state.
How is your firm able to keep prices affordable?
Our President, Sonja Wall, is the current CCO of an existing RIA. She also consults for firms on a needs-based basis. She is able to keep prices affordable; her team has the utmost dedication to RIA-CCO clients. We dependable, dedicated and affordable.
Do you serve as the Chief Compliance Officer (CCO) of an RIA firm?
No, we do not assume title of CCO for our RIA clientele. We provide guidance and support. Sonja Wall is a CCO of an RIA and dedicates herself to help other firms as an Outside Business Activity. For regulatory guidance, depending on your firm’s AUM and capacity to stay abreast changing regulations, it is recommended that the Chief Compliance Officer (CCO) role is fulfilled by a qualified individual at your firm. RIA-CCO services are designed to assist the CCO and/or dedicated marketing professional for your firm.