Transparent Pricing for Ongoing RIA Compliance Support
Whether you need day-to-day compliance guidance or a comprehensive annual review, RIA Compliance Desk provides practical support designed specifically for registered investment advisers.
No hourly billing. No long-term consulting contracts. Just straightforward pricing and practical compliance guidance when you need it.
Membership Add-Ons
rIA Compliance Desk Membership
One compliance question can take hours to research.
RIA Compliance Desk gives you ongoing access to practical guidance, templates, and regulatory updates so you can spend less time searching for answers and more time serving your clients.
$199/month
Everything you need to confidently manage your compliance program.
✓ Unlimited compliance Q&A
✓ Compliance Resource Library
✓ Monthly regulatory updates
✓ Compliance checklists
✓ Templates
✓ Practical implementation guidance
✓ Growing knowledge base
✓ Access to additional services
Annual Compliance Program Review
Starting at $2,999
A comprehensive review of your firm's compliance program designed to help evaluate whether policies and procedures remain reasonably designed under Rule 206(4)-7.
Reviews may include:
Policies & Procedures
Code of Ethics
Business Continuity Plan
Compliance Calendar Tasks
Form ADV consistency
Written recommendations
Marketing Review
Starting at $100
Review of advertisements and marketing materials for compliance considerations under the SEC Marketing Rule.
Examples include:
Websites
Social media
Presentations
Brochures
Testimonials
Performance advertising
Form ADV Review
Starting at $500
Independent review of Form ADV disclosures for consistency, completeness, and practical observations before filing.
Compliance Document Review
Starting at $100
Review of individual compliance documents such as:
Privacy Notice
Code of Ethics
Policies & Procedures
Business Continuity Plan
Vendor Due Diligence
One-on-One Consulting
Starting at $150
30-minute session or 60-minute session
Perfect for discussing:
SEC examination preparation
Compliance strategy
New business initiatives
Regulatory questions