Simple, Transparent Pricing for Every Stage
From registration to ongoing compliance, our flat-fee structure ensures you always know what you’re paying for — and what you’re getting.
RIA Registration Pricing
One-time transparent pricing — no hidden costs, no surprises.
One-Time Registration Fee:
$4,799
Filings
- FINRA Entitlement (SAA setup)
- Form ADV Part 1
- Form ADV Part 2A (Firm Brochure)
- Form ADV Part 2B (Brochure Supplement for IARs)
- Form ADV Part 3 (Form CRS)
- Form U4 (IAR Registration)
- Filing in primary jurisdiction (SEC or state)
Core Compliance Documents
- Code of Ethics
- Compliance Policies & Procedures Manual
- Investment Advisory Agreement
- Financial Planning Agreement
- Privacy Policy
- Initial ADV amendment (within 30 days of approval)
Support and Guidance
- Regulator correspondence during the registration process
- 1:1 consulting after approval to operationalize compliance
- Guidance for updating and maintaining regulatory access (SSA, etc.)
Optional Add-Ons
Your registration package includes everything you need to launch your firm. If your situation requires additional filings, we offer flat-fee add-ons so you only pay for what you need.
Additional Jurisdiction Filing – $350
For firms registering in multiple states or with the SEC and one or more states.
IAR Additional Jurisdiction – $175
Covers Investment Adviser Representatives who need approval in more than one state.
Additional IAR – $350
For registering additional Investment Adviser Representatives under your firm.
State Notice Filing – $175
For advisors filing notice in a state outside of their primary registration.
Other Custom Requests – Quoted
Unique requirements or regulator requests beyond the standard scope are quoted upfront — no surprises.
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.
Hourly Compliance Consulting 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+
For maintaining compliant archives of your firm’s website.
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.
