Stay ahead of the regulatory curve with professional support. The AdvisorAssist Advantage™ solution provides firms with ongoing regulatory and risk management consulting to keep your firm compliant.
Our professionals can provide either a structured compliance program or specific consulting services to assist your firm on an ongoing basis.
The Compliance Advantage Service includes the following services (can also be customized):
- Annual Form ADV review and updates for SEC or State Advisors
- IARD Service Bureau - unlimited updates to your Form ADV and IAR registrations
- Maintain Written Supervisory Procedures for changes in regulations and business practices
- Annual review of all compliance and client documents, including client advisory agreements, investment policy statements, conflicts matrix, and other compliance documents
- Administration of your firm's account on the IARD system
- Filing of Form 13F and Schedule 13G (as applicable)
- Annual Mock SEC inspection and compliance program review
- On-Going Marketing and Advertising review for print and web collateral
- Annual Conflicts of Interest Review (optional)
- Off-Site assistance with informal SEC (and State) regulatory and compliance inquiries
- Periodic compliance alerts (via email)
The AdvisorAssist Advantage™ program can be tailored to the specific needs of your firm. For addition information, please contact us at 866.513.4042 or complete the form to the right.
Additional Services include:
- Development of Solicitor Disclosures
- Mock SEC or State Examinations
- Risk Assessment Reviews
- Conflicts of Interest Reviews
- Independent Assessments of your Compliance Program
- Outsourcing of the Chief Compliance Officer or Compliance responsibilities
You have been a tremendous resource and a trusted partner.
Thank you for another successful year."
- Susan Kirkpatrick
CCO, AARP Financial Inc.
Request Information
For more information and pricing, please complete the form below or call us at 866-513-4042.