You’ve built a career on trust, integrity, and doing what’s right for your clients. But as the industry continues to evolve, you may be questioning whether your current structure still gives you the…
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Ongoing Compliance
Stay audit-ready, every day of the year
Compliance doesn't end at registration. We give you the structure, oversight, and expert guidance to keep your firm exam-ready at all times — so you can focus on clients, not paperwork.
Year-round oversight · 12 hrs consulting included · SEC & state filings managed · Audit preparation support
Monthly compliance fee
$299
/ month
Annual ADV amendments & IARD renewals
Compliance calendar & policy updates
Employee trade monitoring
Marketing & advertising review
12 hrs dedicated consulting/year
Audit prep & exam support
One-time setup fee
$1,000 setup fee — waived for RIA Registration clients within the previous 6 months.
Why it Matters
Compliance doesn't end at registration
Regulatory expectations don't stop after your RIA is approved. From annual filings to daily supervision, the SEC and state regulators require continuous oversight — not just a yearly check-in.
SimplyRIA acts as your dedicated compliance partner, guiding you through every filing, review, and procedural update. With our structured support, you can focus on serving clients while we keep your firm aligned with evolving regulations.
Always exam-ready
We maintain your firm's compliance posture year-round so a regulatory exam never catches you off guard.
One dedicated partner
No hand-offs, no call centers. Your compliance team knows your firm and stays with you as it grows.
Evolves with your firm
As regulations change and your firm grows, your compliance program adapts — with policies and procedures updated to match.
Nothing falls through the cracks
A structured compliance calendar ensures every filing, review, and deadline is tracked and completed on time.
What's included
Everything your compliance program needs
Six core areas of coverage — built to meet every ongoing obligation your RIA faces, year-round.
Regulatory filings & disclosures
Policies, reviews & testing
Employee & adviser oversight
Annual Form ADV amendments & IARD renewals
Form U4 & U5 maintenance *
Form ADV & U4 amendments throughout the year *
Section 13F & 13H EDGAR filings *
Annual compliance calendar & task tracking
Policy updates & regulatory guidance
Compliance program reviews & testing *
Data security review & access person testing *
Employee trade monitoring
Super Account Administrator (SAA) services
New employee compliance onboarding & training *
Marketing & communications
Meetings & consulting
Technology & portal
Digital communications archiving (email)
Advertising & marketing material archive portal
Marketing material review & approval *
Email supervision *
Advisory contract execution review *
Periodic consulting calls with compliance team *
Annual compliance meeting *
Audit preparation & virtual exam support *
Dedicated compliance support via email *
Compliance portal setup & training: Secure ahub for records, filings & archives
Development & revision of core compliance documents
Compliance calendar with task tracking: Always know what's due and what's done
How It Works
What the Registration Process Looks Like
We’ve refined the registration process into clear, manageable steps so you always know what comes next. From the first call to final approval, we’re with you at every stage.
Initial review & setup
Full assessment of your policies, procedures, and records. We identify gaps, update core documents, and build a compliance calendar tailored to your firm.
Regulatory filings & management
We manage all ongoing regulatory obligations — IARD renewals, ADV amendments, U4/U5 maintenance, and key compliance document updates.
Compliance portal & technology
A secure digital hub for your entire compliance program — records, marketing archives, email retention, trade monitoring, and policy updates all in one place.
Ongoing consulting & audit support
12 hours of dedicated consulting each year — covering audit preparation, advertising reviews, filing support, and on-call guidance from our compliance team.
Transparent Pricing
Flat-Fee RIA Registration Pricing
One fee covers everything you need to get registered. Optional add-ons are available for unique situations.
Monthly Fee
$299
+ $1,000 one-time setup fee. Waived for RIA Registration clients within the previous 6 months.
Filings & disclosures
Annual ADV amendments & IARD renewals
Annual ADV amendments & IARD renewals
Form U4 & U5 maintenance *
ADV & U4 amendments year-round *
13F & 13H EDGAR filings
Policies & reviews
Compliance calendar & task tracking
Policy updates & guidance
Program reviews & testing *
Fee reviews & suitability checks
Marketing & tech
Employee trade monitoring
SAA services
New employee onboarding *
Data security review
Oversight & monitoring
Email & communications archiving
Marketing archive portal
Compliance portal setup
12 hrs consulting/year *
* 12-hour support cap: Asterisked items draw from your 12 included consulting hours per year. Additional work beyond this is billed at the applicable hourly rate.
Add-Ons
$99 / month
Additional IAR
Register additional Investment Adviser Representatives.
$49 / month
Additional access person
Each additional supervised access person requiring oversight.
$99 / month
Website archiving
Compliant archives of your firm's website.
$10 / month
Additional electronic connection
Each additional integration requiring monitoring.
$24–$49 / month
Phone & text archiving
Secure archiving of phone and text communications.
Quoted
Custom requests
Unique requirements quoted upfront — no surprises.