AdvisorAssist RIA Store

Leverage the expertise of AdvisorAssist with our Business Plan template and services. The Business Plan will guide you through the process of defining your business model, the economics of your practice, selecting your custodian and much more. Template and advisory services available. Template in Microsoft Word.

Leverage the expertise of AdvisorAssist's technology professionals. With decades of technology evaluation and integration in the financial services industry, we can help you to select the right technologies to fit your budget and growth expectations. Guide in Microsoft Word.

RIA Compliance and Procedures Manual template includes the core regulatory areas for most Registered Investment Advisors. The template covers Books and Records, Trading, Registration, Code of Ethics, Privacy, Business Continuity and more. The regulators require that your WSP reflects your actual business practices. If you need assistance with customization, our experienced professionals are here to assist. Available in Microsoft Word.

RIA Code of Ethics includes policies to deal with conflicts of interest, material non-public information, personal securities trading and other aspects of the Advisor's fiduciary duty. Available in Microsoft Word.

RIA Privacy Policy for web and print distribution to advisory clients. Available in Microsoft Word.

RIA Business Continuity Plan. A practical guide to meeting the business contingency requirements for your RIA. Our BCP Plan and guide contain best practices on technologies, books and records to develop a comprehensive plan for your practice. Available in Microsoft Word.

RIA Client Investment Advisory Agreement defines the responsibilities of the Advisor and the Client as a legal agreement. The agreement is available for Advisors with or without investment and/or brokerage discretion. Please contact us for agreements with hourly fees, fixed fees, retainers and performance fees. Available in Microsoft Word.

RIA Compliance Program (Complete). Complete compliance program templates including, Written Supervisory Procedures, Code of Ethics, Privacy Policy, Business Continuity Plan, Client Investment Advisory Agreement and more. Available in Microsoft Word.

The 2010 Compliance Calendar covers a complete year in compliance, including required registration deadlines, compliance program review topics and best practices to assist in evidencing the strength of your RIA compliance program. Available in Microsoft Word.

The RIA Risk Assessment Matrix is an essential tool to evaluate the effectiveness of your RIA Compliance Program. Our comprehensive questionnaire will take you through all the major risk areas of your practice with a straightforward guide. Available in Microsoft Word.