Focus on what's important. Your clients.
AdvisorAssist is there for you every step of the way. If you are establishing a new Registered Investment Advisor ("RIA") or in need of support to manage your continued growth, AdvisorAssist is here to help. Our experienced Partners, with decades of experience in both the independent brokerage and registered investment advisor markets, will guide you through the myriad of decisions and complexities in running a compliant advisory practice. We offer customizable solutions based on the unique needs of your situation and business model.
- New Advisory Firms
- Established Advisory Firms
- All Services
Get off to the right start. Whether you need a little help getting started or ongoing support services, AdvisorAssist can tailor a compliance program to meet the unique needs of your firm.
Advisor Registration Essentials™
Need assistance with the start-up of your RIA? Our professionals can provide the advice and guidance you need to get it done right. Our services are tailored to the
unique needs of your firm, including: business model development; establishing custodian/independent brokerage relationships; preparing Form ADV Parts 1, II,
and Schedule F; developing a compliance program with supervisory procedures tailored to your business, development of client agreements, and assistance with
transitioning your clients. Learn more...
RIA QuickStart™ Service
Want to set up your own RIA, but don’t like the prospect of being down for the six to eight weeks it takes between the time you leave your current job to when your new
RIA is up and running?
Our licensed Series 65 professionals can start it for you. When you are ready,
we'll turn over the keys. Learn more...
Annual Registration Services
Need assistance initial registration or annual renewals of your firm with the Securities and Exchange Commission ("SEC") and/or the various State regulators? Our professionals stay on top of the
continually evolving regulations so you don't have to. Learn more...
Compliance Programs
The state and federal regulators have not looked favorably upon firms using off-the-shelf compliance programs that do not accurately reflect the actual business and control activities of your
firm. Our professional can provide a cost-effective compliance policies and procedures manual that is specific to your firm's unique business and investment processes.
Learn more...
Get the support you need to build and maintain your firm.
Advisor Compliance Advantage™
Customizable compliance support solutions to meet your ongoing compliance and regulatory challenges. Our professionals provide either structured compliance programs or customized consulting services
to keep you ahead of the regulatory curve. Learn more...
Supervisory Policies and Procedures
A "one-size-fits-all" compliance manual is not an acceptable option with the regulators. Our professionals can review and enhance your existing manual or draft one tailored to
your unique business activities and firm model. Learn more...
Advisor Registration Services
Need help with your Form ADV? Our professionals you annual and ongoing requirements for SEC and state regulatory filings for both your firm and investment advisor
representatives. We prepare and file all forms necessary to meet your regulatory obligations. Learn more...
Mock SEC Examinations
Are you prepared for an SEC visit? Our regulatory professionals will perform an mock exam to ensure you are prepared for an SEC or state examination. We conduct our exams
using the same tools and techniques as the regulators. Our exams will not only give you an indicator of your readiness for an exam, but will also provide best-practice suggestions specific to
your firm. Learn more...
Independent Assessments
How effective is your compliance program? Rule 206(4)-7 requires the Chief Compliance Officer to validate the effectiveness of the compliance program at least annually.
Our professionals can provide a structured assessment to meet the needs of your firm, from a comprehensive review to topic-specific analysis. Learn more...
Advertising Review
We can demystify the advertising rules. Rule 206(4)-1 requires advisors to follow vague and complex rules regarding advertising and promotion of their RIA firm.
Our professionals can provide one-time or ongoing review services to keep you in compliance. We also offer services for website development, search engine promotion and training on how to safely promote yourself
in the new, connected world. Learn more...
Compliance Services
AdvisorAssist professionals can augment your existing compliance resources or provide comprehensive services in the following areas:
- Compliance Program Design. Our experienced professionals can design a compliance program designed not only to meet the regulatory requirements, but one that is specific to your business practices. We help you to develop strong, but practical programs.
- Compliance Manual - Written Supervisory Procedures. We develop customized compliance manuals that accurately reflect how you do business. Canned procedures are no longer an acceptable option by the regulators.
- Form ADV. Our professionals will develop and/or review your registration and disclosures for initial, annual and interim SEC or State registration. We will ensure you have appropriate disclosure for all aspects of your business including advisory services, fees, conflicts of interest and all other pertinent information.
- Custom Client Brochure. Want to get more value out of your ADV requirements? We can develop a customized brochure to use instead of the unformatted ADV.
- IARD Service Bureau - Form ADV Updates. We take on the burden of managing the registration and and updates of your firm and individuals, including ADV Part1, ADV Part II, Form U-4, Form U-5 and Form U-10. Our professionals will ensure all necessary registrations and updates are made via the IARD/CRD system and maintain a record of any changes for your compliance records.
- Mock SEC or State Examination. We help you to strengthen your compliance program and prepare for a regulatory exam. Our proprietary review process covers all current regulator request items, including priority topics, industry best practices, and conflicts. We'll provide guidance on how prepare and present yourself for an actual examination.
- Independent Assessment of your Compliance Program. Our professionals can provide a targeted or comprehensive review of your compliance program covering your business practices, assessment of risk, conflicts of interest, adherence to policies and overall strength of the compliance program.
- Conflicts of Interest Review. All advisory firms have some inherent conflicts of interest in their operation. The challenge is identifying those conflicts, mitigating the risk to your firm resulting from the conflicts, properly disclosing the conflicts to your clients and monitoring the impact on your business. We can help.
Request Information
For more information and pricing, please complete the form below or call us at 866-513-4042.