OUR SERVICES
State & SEC Filings
Establish your RIA with ease and posture with us on your team. We will walk you through all of the documentation needed for establishing your firm.
COMPLIANCE OVERSIGHT
Stay up to date and in compliance with regulatory organizations through weekly meetings, conference calls and support according to your schedule.
WEBSITE COMPLIANCE
Whether already have an existing website for your RIA or need a new site built, we will make sure it meets state and federal regulatory compliance standards.
STATE & SEC FILING SERVICES | COMPLIANCE OVERSIGHT
STATE FILINGS
Register an RIA in a new state
$3,000.00
State Registration Filing
(Primary Jurisdiction)
FINRA Entitlement
Form ADV Part 1 / ADV 2A
Form U4 for Advisers
Form ADV 2B for Advisers
Assistance with Annual Registration Renewal
Customized RIA Documentation including:
Privacy Policy Statements
Business Continuity Plan
Compliance Manual
Wrap Fee Brochure
Financial Planning Agreement
Code of Ethics
RIA / Hybrid RIA Advisory Agreement
Personnel Securities Transaction Document
Archive Brokerage Statements Online
Termination Checklist
Adviser Questionnaire
$3,000.00 USD
SEC FILINGS
Register a new RIA with the SEC
$4,000.00
SEC Registration Filing
FINRA Entitlement
Form ADV Amendment Filing
Form ADV Part 1 / ADV 2A
Form U4 for Advisers
Form ADV 2B for Advisers
Assistance with Annual Registration Renewal
Customized RIA Documentation including:
Privacy Policy Statements
Business Continuity Plan
Compliance Manual
Wrap Fee Brochure
Financial Planning Agreement
Code of Ethics
RIA / Hybrid RIA Advisory Agreement
Termination Checklist
Adviser Questionnaire
Review of marketing materials for compliance requirements
Audit prep consultations
Adviser Disclosure Document
Personnel Securities Transaction Document
Archive personnel brokerage statements online
$4,000.00 USD
OUTSOURCED CCO
Ongoing Chief Compliance Officer Services
$2,500.00/month
For new and existing firms:
Robust CCO personalized service in all areas
Registration of Firm in New States
Assistance with Annual Registration Renewal
Review of marketing materials for compliance
Customized audit prep consultations
Form ADV Part 1 / ADV 2A
Form ADV Amendment Filing
Customized RIA Documentation including:
Privacy Policy Statement
Business Continuity Plan
Compliance Manual
Wrap Fee Brochure
Financial Planning Agreement
Code of Ethics
RIA / Hybrid RIA Advisory Agreement
Adviser Disclosure Document
Personnel Securities Transaction Monitoring
Archive personnel brokerage statements online
Termination Checklist
Adviser Questionnaire
$2,500.00/month
Includes business consulting and weekly/monthly/quarterly meetings.
*New accounts must remain active for a full fiscal quarter or 90 days.
COMPLIANCE CORNER OFFICE
ONGOING COMPLIANCE OVERSIGHT & CONSULTING
COMPLIANCE MONITORING
MONTHLY COMPLIANCE CONSULTATIONS | DOCUMENT REVIEWS
This package is ideal for startups interested in staying up to date with regulatory requirements for their business. We provide new and growing firms with news, updates and the regulatory documents they need to stay in compliance with state and federal laws. We also provide a cloud-based document storage system for increased transparency and preparedness for audits.
FEATURES
A Dedicated Consultant
Documentation Vault
External Compliance Research
$299.95/month
COMPLIANCE OVERSIGHT
MONTHLY COMPLIANCE CONSULTATIONS | WEBSITE REVIEWS | DOCUMENTATION REVIEWS, CREATION & FILING SERVICES
This package is ideal for startups interested in staying up to date with regulatory requirements for their business. We provide new and growing firms with news, updates and the regulatory documents they need to stay in compliance with state and federal laws. We also provide a cloud-based document storage system for increased transparency and preparedness for audits.
FEATURES
A Dedicated Consultant
Documentation Vault
External Compliance Research
$999.95/month
WEBSITE COMPLIANCE OVERSIGHT
COMPLIANCE REVIEWS | SITE OVERHAULS | WEBSITE DEVELOPMENT
Add the experience and credentials of a certified CloudFunding technology officer to your team. We will review your current technology stack, website and software systems for regulatory compliance and identify ways to improve/streamline your processes. We provide weekly consultations and build/overhaul websites to include customizable compliance oversight features, compliance monitoring, documentation storage systems and 3rd party software integrations.
FEATURES
A Dedicated CloudFunding Consultant
Documentation Storage Vaults
Marketing Content
Graphic Design/Branding
SEO Virtual Private Server (VPS Management) Client Management Systems
Social Media Materials
Lead Generation Tools
Email Campaign Management