Stay Audit-Ready Year-Round
Compliance isn’t a one-time task — it’s an ongoing responsibility. We give you structure, oversight, and expert guidance to keep your firm exam-ready at all times.
Compliance Doesn’t End at Registration
Maintaining your RIA means maintaining compliance, every day, all year. We provide the structure and partnership to keep your firm continuously aligned with regulatory standards.
Regulatory expectations don’t stop after your RIA is approved. From annual filings to daily supervision, the SEC and state regulators require continuous oversight of your firm’s activities — not just a yearly check-in.
SimplyRIA helps you maintain that standard year-round. We act as your dedicated compliance partner, guiding you through every filing, review, and procedural update to help ensure no details slip through the cracks. With our structured support, you can focus on serving clients confidently while we keep your firm aligned with evolving regulations.
Everything Your Compliance Program Needs
Our Ongoing Compliance Program combines expertise, structure, and technology to cover every core area of your compliance obligations.
Annual Regulatory Filings and Disclosures
We manage every recurring and event-driven filing to keep your firm compliant across all jurisdictions. From annual ADV updates to U4/U5 maintenance and EDGAR filings, our team ensures all required disclosures are accurate, timely, and aligned with current regulations.
- Annual Form ADV amendments and IARD renewal filings each year
- Form U4 and U5 maintenance, including multi-state registration filings*
- Form ADV and Form U4 amendments throughout the year*
- Section 13F and 13H EDGAR filings*
Policies, Reviews, and Testing
Your compliance program is a living framework that evolves with your firm. We build and maintain a structured calendar that includes program reviews, policy updates, and routine testing to confirm procedures are working as intended.
- Annual compliance calendar and task tracking system
- Policy updates and ongoing regulatory guidance
- Initial compliance program review and periodic program reviews*
- Recurring compliance reviews and policy testing*
- Advisory fee reviews and testing*
- Periodic client suitability reviews*
- Data security review and testing with all access persons*
Employee and Adviser Oversight
Regulators expect firms to demonstrate active supervision of all supervised persons. We help you maintain accurate records, implement trade monitoring, and ensure each new hire completes the necessary onboarding and compliance training.
- Employee trade monitoring
- Super Account Administrator (SAA) services
- New employee compliance onboarding and training*
Marketing, Advertising, and Communications
Your marketing materials and digital communications must meet strict regulatory standards. We review, approve, and archive your content — including emails, ads, and social media — to protect your firm and preserve compliant communication records.
- Archiving of digital communications (email)
- Advertising and marketing material archiving portal
- Advertising and marketing material review and approval*
- Email supervision*
- Advisory contract execution review*
Meetings and Consulting
Compliance is an ongoing conversation. We meet with your team throughout the year to review updates, address emerging issues, and prepare for audits, ensuring you always have a knowledgeable partner when it matters most.
- Periodic consulting calls with compliance team*
- Annual compliance meeting*
- Support with additional state registrations or notice filings*
- Audit preparation and virtual support during regulatory exams*
- Dedicated compliance support via email*
Technology Setup and Support
We bring organization and accessibility to your compliance environment. Our secure portal houses your compliance calendar, documents, and filing history — making it easy to stay current, track progress, and prepare for audits at any time.
- Compliance Portal setup and training
- Development and revision of core compliance documents
* Support Coverage Note
Services are included for up to 12 hours of support and ad-hoc consulting per year, covering ongoing guidance, routine updates, and meeting participation. Additional consulting or project-based work beyond this allowance may be billed at the applicable hourly rate.
How We Keep Your Firm Continuously Compliant
A structured, proactive approach designed to keep your RIA organized, exam-ready, and focused on growth.
Initial Review & Setup
We start with a full assessment of your policies, procedures, and records to identify any gaps. Then we update your core documents and establish a compliance calendar tailored to your firm.
Regulatory Filings & Management
We manage your ongoing regulatory obligations, including IARD renewals, Form ADV amendments, and maintenance of key compliance documents.
Compliance Portal & Technology Support
A secure digital hub for your firm’s compliance program—housing your records, marketing archives, email retention, trade monitoring, and policy updates—all managed in one place.
Ongoing Consulting & Audit Support
Receive 12 hours of dedicated compliance consulting each year, including audit preparation, advertising reviews, filings support, and on-call guidance from our compliance team.
Ongoing Compliance Pricing
Transparent monthly pricing — no hidden costs, no surprises.
Monthly Ongoing Compliance Fee:
$299 / month
+ $1000 One Time Setup Fee (Waived for RIA Registration Clients within the previous six (6) months.)
Regulatory Filings and Disclosures
- Annual Form ADV amendments and IARD renewal filings each year
- Form U4 and U5 maintenance, including multi-state registration filings*
- Form ADV and Form U4 amendments throughout the year*
- Section 13F & 13H EDGAR filings*
Policies, Reviews, and Testing
- Annual compliance calendar and task tracking system
- Policy updates and ongoing regulatory guidance
- Initial compliance program review and periodic program reviews*
- Recurring compliance reviews and policy testing*
- Advisory fee reviews and testing*
- Periodic client suitability reviews*
- Data security review and testing with all access persons*
Employee and Adviser Oversight
- Employee trade monitoring
- Super Account Administrator (SAA) services
- New employee compliance onboarding and training*
Marketing, Advertising, and Communications
- Archiving of digital communications (email)
- Advertising and marketing material archiving portal
- Advertising and marketing material review and approval*
- Email supervision*
- Advisory contract execution review*
Meetings and Consulting
- Periodic consulting calls with compliance team*
- Annual compliance meeting*
- Support with additional state registrations or notice filings*
- Audit preparation and virtual support during regulatory exams*
- Dedicated compliance support via email*
Technology Setup and Support
- Compliance Portal setup and training
- Development and revision of core compliance documents
* Services are included for up to 12 hours of support and ad-hoc consulting per year. Additional time may be billed at the applicable hourly rate.
Flexible Add-Ons for Growing Firms
Your ongoing compliance plan includes everything most firms need for complete year-round support. If your firm has additional team members, locations, or communication channels that require oversight, these flat-fee add-ons let you expand your coverage as needed — no surprises, just transparent pricing.
Additional IAR – $99 / month
For registering additional Investment Adviser Representatives under your firm.
Additional Access Person – $49 / month
For each additional supervised access person requiring oversight.
Website Archiving – $99 / month
For maintaining compliant archives of your firm’s website.
Additional Electronic Connection – $10 / month
For each additional integration requiring monitoring or access.
Phone/Text Archiving – $24 - $49 / month
For secure archiving of phone and text communications.
Other Custom Requests – Quoted
Unique or expanded requests beyond standard scope are quoted upfront.
