Registered Investment Adviser (RIA)  Compliance Consultants

   RIA Compliance Services Designed Exclusively for Small-to-mid Size Firms

RIA Compliance Services Designed Exclusively for Small-to-mid Size Firms

 

Practical Compliance Support Tailored For You!

Summit Compliance Group's RIA Compliance Consultants cater to both newly registered and seasoned Registered Investment Advisers in all areas of regulatory compliance.  Our broad experience working with RIAs, broker/dealers and independent insurance producers for decades means that you get expert service, tailored to the unique needs of your business model.

We don't utilize a cookie-cutter approach or give you confusing templates that don't make sense for your business. We take the time to learn about your business and tailor your compliance program to your needs, ensuring an integrated approach with the insurance or investment aspects of your practice as needed

We provide ongoing operational and compliance support services for both state and SEC-registered firms in a number of areas, including:

  • Initial registration

  • Compliance program development

  • RIA compliance training

  • Compliance calendars

  • Annual CCO report

  • ADV / ADV 2A Amendments

  • Certifications / Attestations

  • Regulatory Responses

  • Mock exams and exam management

  • Advertising compliance reviews

  • On-going consulting for questions and issues

  • And MORE.......!

We offer flexible and cost-effective services so you can
REST ASSURED YOUR PRACTICE IS PROTECTED!

Contact us today to get started!