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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On-Demand Compliance Expertise
Get the compliance support you need, when you need it — without long-term commitments.
Your Compliance Team, On Demand
Whether you’re navigating a new regulation, preparing for an audit, or refining your processes, SimplyRIA provides the same level of dedicated support as our ongoing clients — available by the hour, when it matters most.
Every RIA has unique compliance needs. SimplyRIA’s Hourly Compliance Consulting provides tailored, on-demand support to address specific challenges as they arise. Whether you need custom documentation, strategic compliance advice, or focused project support, our experienced compliance team delivers practical solutions that help keep your firm compliant, audit-ready, and positioned for growth.
These services are ideal for firms seeking à la carte compliance support outside of a full registration or ongoing compliance engagement. We offer strategic guidance, one-time document creation, and project-based consulting to help your firm stay aligned with regulatory requirements and industry best practices.
Proactive Consulting and Support
Our hourly consulting is ideal for one-time projects, transitional needs, or situations requiring focused expertise.
Deficiency Response and Remediation
Receive hands-on guidance for responding to regulator findings or deficiency letters. We review your exam results, help craft accurate and compliant responses, and implement corrective actions to close gaps quickly and confidently.
Development or Refinement of Written Policies and Procedures
We assist in creating, updating, or enhancing your firm’s written policies and procedures to align with current regulatory expectations. This ensures your documentation accurately reflects your operations and serves as a reliable foundation for audits and ongoing compliance.
Streamlining Compliance Processes and Technology Setup
We evaluate your existing compliance workflows to identify inefficiencies, reduce risk, and improve accountability. Our team helps you design and implement practical, repeatable processes supported by modern compliance technology — including setup and training for task management tools that organize filings, reminders, and reviews. The result is a more efficient, well-documented program your team can confidently maintain year-round.
Streamlining or Building Compliance Processes Using Best Practices
Our consultants evaluate your existing compliance workflows to identify inefficiencies or risks. We help you build practical, repeatable processes that strengthen oversight, simplify tracking, and align with best practices used by leading RIAs.
Setup and Training on Compliance Task Management Tools
We provide setup assistance and hands-on training for compliance tracking systems — helping you implement technology that organizes filings, reminders, and reviews. This allows your team to maintain a consistent, documented compliance schedule throughout the year.
Support with Additional State Registrations or Notice Filings
Whether your firm is expanding into a new jurisdiction or updating existing filings, we help navigate multi-state registration requirements. Our team prepares and submits Form ADV notice filings and related documents to ensure timely, accurate registration updates.
Audit Preparation Support and Guidance
We help you prepare for upcoming regulatory exams by reviewing core compliance documents, identifying potential gaps, and organizing materials for submission. During active audits, we can provide guidance on regulator communications and document responses.
Dedicated Compliance Support via Email
Our consultants are available via email for ad-hoc compliance questions, clarifications, and document reviews. You’ll receive timely, practical answers from experienced professionals who understand both regulatory requirements and real-world advisory operations.
Our Approach to Compliance Consulting
We make hourly compliance consulting straightforward from start to finish — ensuring you always know what to expect, what’s included, and how your project will be delivered.
Define Your Project
Tell us what you need — whether it’s a specific filing, new documentation, or strategic guidance. We’ll discuss your objectives, timeline, and desired outcome to determine the best path forward.
Estimate Hours & Scope
Before any work begins, we provide a clear estimate outlining expected hours, deliverables, and costs. You’ll always know the scope of work upfront, with no surprises once the project is underway.
Deliver Solutions
Our consultants execute the agreed scope efficiently and professionally, providing clear documentation and guidance for your records. You get the results you need — delivered accurately and on time.
Transparent Hourly Pricing
Expert compliance consulting when you need it — with straightforward pricing and no surprises.
Hourly Rate:
$350 / hour
Although some projects are billed as one-time fees, pricing is based on the time required to complete the work at SimplyRIA’s standard hourly rate. All projects are scoped in advance so you know the cost before work begins.
Example Project Estimates
Form ADV Amendment – $700+
Update or amend your Form ADV quickly and accurately.
State Notice Filing – $350+
File or renew notice registrations with applicable states.
Additional State Registration – $700+
Adds registration in another state, including required filings.
State-to-SEC Registration – $1400+
Transition smoothly to SEC registration with guided documentation.
ADV Withdrawal – $500
File withdrawal forms to terminate existing registrations.
Audit Support – $700+
Prepare documentation and respond to regulator requests.
Advertising & Marketing Review - $175+
Review your promotional materials for compliance accuracy.
Policies & Procedures Manual - $1,000
Create or update a full manual tailored to your firm.