Trust is the key for building relationships personally and professionally. We believe it is the cornerstone of business. Our network of Compliance Consultants is carefully evaluated before working with SmartRIA, and ultimately with your firm.
Compliance Consulting Services
Whether you are starting a new firm or filing an amendment to your status, our compliance consultants can help.
The SmartRIA Consultant Network has completed hundreds of SEC registrations for various types and sizes of RIA firms.
Registration Services Include:
Breaking Away from Existing RIAs • Broker Dealer Breakaways • Financial Planners • Internet-Only Robo Advisors • Investment Managers • Private Fund Managers
Audit & Exam Prep Services
Prepare with confidence for your next State or SEC examination with Mock Audit services through SmartRIA’s compliance consultant network. Identify, remediate and manage operational, procedural and regulatory weaknesses to control and mitigate risks.
In the midst of an audit? We can help. We provide onsite or remote response professionals with decades of legal and compliance consultation experience in audit situations.
Ongoing Services & Designated CCO
Find the level of services that is right for you and your firm. Do you only need a couple of hours of consultation each year, or would you rather have someone you consult with several hours every month? We’ve go you covered. All of our ongoing service packages include
- Consultation Sessions
- IARD Service Desk
- Compliance Updates
- SmartRIA software access
Want to stay focused on your clients? Our Outsourced CCO solutions ensure you stay compliant with regulatory requirements, saving you time and money with reduced staffing needs. Your firm will have a named CCO supported by a team of experienced compliance professionals taking care of your firm’s compliance obligations. From annual attestations to marketing and ad reviews, we’ll help you establish a compliance program that meets SEC requirements.