RIA Compliance Services

TIER 1 RIA COMPLIANCE SUPPORT SERVICES PROGRAM

Our Premier Tier 1 full RIA Compliance Support Services Program enables the RIA Firms CCO to leverage the SimplyRIA’s team, resources, knowledge, and experience to fully support your Firm 24/7. We will develop, distribute, and collect all necessary documentation to the Company’s IARs and Access Personnel to support your internal compliance program. We will help set up a compliance documents electronic storage vault to share and update documents that must be protected and readily available for a surprise State or SEC audit!

SimplyRIA will supply compliance guidance, registration services with access to FINRA’s IARD system, and make available all necessary Firm, IAR, Access Personnel, and Client documents for the RIA’s CCO to support these activities.

The services included within the Tier 1 Compliance Support Services Program are as follows:

• • • General Compliance Guidance, Support, and Availability for the CCO of RIA
    • Annual Renewal processing for the RIA and for each participating IAR of the RIA
    • Annual Amendment to Form ADV Part 2A of the RIA and 2B for each participating IAR of the RIA
    • IARD Administrative activity for registering the RIA and IARs with all necessary states
    • Supply and collect all the necessary documents to initiate the proper supervision and compliance for the RIA, RIA’s IARs, and access personnel
    • Monthly review and update meeting with the CCO on the status of the RIA’s compliance activity and on going changes as they happen

NOTE: SimplyRIA is responsible for sending out but not collecting compliance documents as required for compliance. With our assistance the RIA is responsible to supply and pay for an electronic storage location for the compliance documents. For services in which the CCO will be given the necessary compliance documents and will be responsible to send out, collect, and store the necessary documents, please see the Service Provider’s Tier 2 Compliance Support Services Program.

Additional costs related to the State/SEC Firm and/or the IAR for registration fees are not included and are the responsibility of “Insert Service Requestor”

TIER 2 RIA COMPLIANCE SUPPORT SERVICES PROGRAM

SimplyRIA’s Tier 2 Level RIA Compliance Support Services Program enables the RIA to have access to SimplyRIA’s team, resources, knowledge, and experience to develop, and deliver all necessary documentation to the Company’s CCO who will distribute, collect, and retain for evidence to support a compliance program for the RIA, it’s Investment Advisor Representatives, and Access Personnel. Our Tier 2 compliance is offered at a reduced monthly cost over our Tier 1 program which sets certain limitations and reduced services that may make sense for smaller Firms or Firms with less ongoing activity.

The services included within the Tier 2 Compliance Support Services Program are as follows:

• • • General Compliance Guidance, Support, and Availability for the CCO of the RIA
    • Annual Renewal processing for the RIA and for each participating IAR of the RIA
    • Annual Amendment to Form ADV Part 2A of the RIA and 2B for each participating IAR of the RIA
    • IARD Administrative activity for registering the RIA and IARs with all necessary states (additional State fees are not included)
    • Supply the CCO all the necessary documents to initiate the proper supervision and compliance for the RIA, the RIA’s IARs, and access personnel
    • Quarterly review with the CCO on the status of the RIA’s compliance activity

NOTE: The RIA is responsible for sending out and storing compliance documents as required for compliance.  For a more complete turn-key operations of compliance management and support, excluding CCO responsibilities, please see our Premier Tier 1 Compliance Support Services Program.

Additional costs related to the State/SEC Firm and/or the IAR for registration fees are not included and are the responsibility of “Insert Service Requestor”