RIA & IAR Document Development. SimplyRIA – Here To Help
Once you become a RIA Firm, your firm 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 – Here to help.
We’ve Mastered This Process
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:
- Form ADV 2A Firm Brochure
- Form ADV 2B IAR Brochure
- Wrap Fee Brochure
- Client Agreement Forms
- Financial Planning & Consulting Services Agreements
- Process & Procedure Manual
- Code of Ethics
- IAR Declaration & Acknowledgement to the Firm
- Annual & Quarterly Compliance Documents along with Acknowledgements
- Securities Pre-Approvals
- Heightened Supervision Plan & Documents
- Compliance Calendar
- Advisor contracts and compliance documents
- Business Continuity Plan
- Process & Procedure Manual
- Cybersecurity Protocol
What Distinguishes Our Services From The Competition?
Our Founder, with industry experience since 1984, has been in the trenches, just like you. He has led us down the path by sharing his wealth of knowledge and experience with everyone we work with. It’s taken numerous years to build an extensive library of real documents that will fit any type of RIA. We will customize these documents for you. 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.
We’re Ready To Help
Contact us today to learn more about we can help eliminate wasted time on document development. We’re looking forward to helping you protect your greatest asset…YOU!
Questions? Discuss With and Expert!
SimplyRIA, Inc., is located in Michigan about 45 minutes West of Detroit.
1024 E. Grand River Ave.
Brighton, MI 48116
T (810) 227-2549
F (810) 227-2558
Allow SimplyRIA to do all the heavy lifting. Lets get your RIA started today!
Not ready to start your RIA, SimplyRIA has options for you to be an IAR with a RIA