Our Network
  • 140+
    Advisor consulting clients (past/present)
  • 80+
    RIA Review Users

  • 20+
    States represented**

  • $3.69+
    billion in total AUM from advisor clients (past/present)
Our network includes: RIA Consults - Roberson Consults Group and RIA Products
Testimonials
“Overall the content is great. The checklists and abundance of info greatly helps our firm go above and beyond in completing our compliance tasks.”
-K. Daniels, Client Relationship Manager, Summit Wealth Partners, LLC.
Ten Benefits For Using Ria Review
Firm Problems Examiner Actions Our Solutions
Failure to maintain books/records Regulator can fine the firm or stop operations Use our secure cloud-based compliance directory to store files.
Failure to conduct a review of policies/procedures. Examiners can send a discrepancy (fix-it) letter or fine notice. Use online calendar, checklists, and/or Review Center.
Failure to update/maintain client agreements. Examiners can send a discrepancy (fix-it) letter or fine notice. Use online forms to update, print, and file agreements.
Failure to send clients an annual offer letter. Examiners can send a discrepancy (fix-it) letter or fine notice. Use online forms to update, and print out offer letter template.
Failure to supervise an access person/maintain code of ethics provisions. Examiners can send a discrepancy (fix-it) letter or fine notice. Use online forms for producing code of ethics documentation.
Failure to update ADV (Part 1A/B, 2A, and/or 2B). Examiners can send a discrepancy (fix-it) letter or fine notice. Use checklists or disclosure document forms.
Failure to pay state/SEC renewal (or notice filing) fees. Examiners can cancel registration — making it difficult to re-register or interrupt operations (e.g. stop collection of fees. Use online calendar or alerts to ensure prompt fee payments.
Failure to register/notice file in other states. Examiners can send a discrepancy (fix-it) letter or fine notice, and/or stop firm from conducting business in that state. Use online calendar, alerts, or de-minimus checklist.
Failure to send in financial statements to state regulators (state firms with custody requirements). Examiners can send a discrepancy (fix-it) letter or fine notice. Use our calendar and online balance/income sheet sample to produce financial documents.
Failure to provide accurate invoices/ generate incorrect fees billing calculations. Clients may be overcharged.
Examiners can send a discrepancy (fix-it) letter, fine notice, and require reimbursing clients.
Use checklist for forensic testing of fees.
SOLUTIONS = REDUCE DISCREPANCIES and/or possiblity of fines.
Our Services
Service Description Free Premium Premium Plus
Compliance Calendar Annual deliverables/deadlines
Compliance Alerts Integrate to your email (office 365) systems
Compliance Management Guidelines SEC/State Registration
SEC/State Jurisdiction list
FINRA web CRD/IARD Instructions
Maps/Operational Workflow Advertising
Books/Records
Client Delivery
Educational Requirements
Cloud Compliance Directory Cloud Books/Records
Storage
Checklists Calendar Items
SEC Compliance Program State Compliance Program
Forms Procedures Manual
Client Suitability
Privacy Policy
... and more
Agreements Investment Advisory
Consulting Agreement
Financial Planning Agreement
... and more
Disclosure Documents ADV Part 2A/B (SEC)
ADV Part 2A/B (State)
Review Center Review Templates
Code of Ethics docs
Sales Contact Us Form
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Have a technical question?
Sales Number: 650-305-2688
Email: cory@riareview.com
Address: 2950 Buskirk Ave, Suite 300, Walnut Creek, CA 94597