Raise your hand if you love doing your regular compliance email review. Many owners or founders at smaller RIA firms are also acting as the Chief Compliance Officer (CCO). This can be challenging when you are trying to grow your business, manage your clients and ...


By: Kristen Guerrero, Owner & Compliance Consultant at RIA Compliance Key February 9, 2021 It’s ADV season!  Preparing the information needed to complete the Annual ADV amendment can be a tedious task for RIA firms.  As a Compliance Consultant, I want to make the process ...


Compliance Calendar and Task Tracker + Simple Email Archive From experience, we know that starting a new RIA can be exciting, challenging and confusing, often all at the same time. This is why our company is here to assist new and existing Registered Investment Advisers ...