Document Services

Professional Client and Advisor Documents

Once you become a RIA Firm, you will need to provide all of the necessary compliance documents to both your Clients and the Advisors of your Firm. This process can be time consuming and can take away from what is important, running your business. SimplyRIA is here to help.

We’ve Got it Down to a Science

Our expertise come from real industry experience and not just from reading a “How To” book. Your documents are your lifeline. It’s your firewall that protects you, the independent entrepreneur! Our Document Services eliminate the trial and error process of creating your own documents. We will incorporate your style and logo to fully customize the required documents. From creating your Firm’s Form ADV 2A Brochure to writing your Firm’s Process and Procedures Manual. We can provide you with the documents, ready to use. Let SimplyRIA optimize your valuable time to focus on growing your business.

Check out some of our examples of what types of documents we provide our RIA’s & IAR’s:

Firm Level Documents

  1. Form ADV 2A Firm Brochure
  2. Form ADV 2B IAR Brochure
  3. Wrap Fee Brochure
  4. Client Agreement Forms
  5. Financial Planning & Consulting Services Agreements
  6. Process & Procedures Manual
  7. Code of Ethics
  8. Privacy Policy
  9. IAR Declaration & Acknowledgement to the Firm
  10. Annual & Quarterly Compliance Documents along with Acknowledgements
  11. Securities Pre-Approvals
  12. Heightened Supervision Plan & Documents
  13. Compliance Calendar
  14. Advisor contracts and compliance documents
  15. Business Continuity Plan
  16. Cybersecurity Protocol

What Distinguishes Our Services From The Competition?

Our Founder, with industry experience since 1984, has been in the trenches, just like you. It has taken numerous years to build an extensive library of real documents that will fit any type of RIA. We will work directly with you to make sure your documents are built around your Firm’s goals, objectives and clientele. They will not just be a simple cookie-cutter solution like so many documents we’ve seen and have corrected. Make sure you’re not wasting time on creating documents that are not in compliance, giving you a false sense of security. Unfortunately you won’t know until it’s too late! Its simple – let SimplyRIA protect you, your IARs, and your Firm.