Compliance Support for RIAs—When You Need It Most
RIA Compliance Desk provides practical, ongoing compliance support for registered investment advisers through a subscription-based membership. Instead of waiting until your annual review or paying hourly consulting fees every time a question comes up, members have access to timely guidance, practical resources, and tools designed to help them confidently manage their compliance programs.
Whether you're launching a new firm, serving as the Chief Compliance Officer, or handling compliance alongside other responsibilities, RIA Compliance Desk is here to support you throughout the year.
What's Included with Your Membership
Unlimited Compliance Q&A
As a member, you can submit compliance questions whenever they arise through our private member portal. Questions are answered by an experienced RIA compliance professional with practical, real-world experience working with investment advisers.
Compliance Resource Library
Members receive access to a growing library of practical compliance resources designed specifically for RIAs.New resources are added regularly as regulations evolve and common member questions emerge.
Monthly Compliance Update
Each month, members receive a concise summary of important SEC and state regulatory developments, enforcement actions, examination priorities, and compliance reminders.
Additional services
While many firms find the membership provides everything they need for ongoing support, some situations call for a more in-depth review. Members can purchase additional services as needed without committing to a long-term consulting engagement.
Annual Review - Rule 206(4)-7
Satisfy your obligations under Rule 206(4)-7 with a structured, practical annual review of your compliance program. We evaluate the adequacy and effectiveness of your policies and procedures based on your firm’s actual operations, identify areas of weakness, and provide a clear roadmap for remediation. The result is a documented review process that not only checks the regulatory box—but genuinely improves how your compliance program functions.
Marketing Review
Stay compliant with the SEC Marketing Rule without second-guessing your content. We review your marketing materials including websites, social media posts, pitch decks, and advertisement, to identify potential compliance issues and provide clear, actionable feedback. You’ll get straightforward guidance on required disclosures, performance presentation, testimonials, and overall messaging so you can confidently publish without risking regulatory scrutiny.
Phone or Video Calls
Need to talk something through in real time? Book a focused 30- or 60-minute consultation to get immediate clarity on your compliance questions. Whether you're dealing with a time-sensitive issue, preparing for an exam, or working through a complex scenario, these sessions provide direct, practical guidance tailored to your firm—without the commitment of an ongoing consulting engagement.
Document Review
Whether you're updating your Form ADV or refining your compliance manual, we provide a detailed review to ensure your documents align with current regulatory expectations. We assess clarity, completeness, and consistency across your materials—highlighting gaps, inconsistencies, and potential risk areas. Instead of vague comments, you’ll receive specific recommendations you can implement immediately to strengthen your compliance program.