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Email: cory@riareview.com
Address: 2950 Buskirk Ave, Suite 300, Walnut Creek, CA 94597

RIA Review Offers

Receive a free audit request list when signing Free version

Receive a brief Compliance Assessment* with purchase of a paid version
(*brief review of ADV)

Use Cases

Based on actual clients from RIA Consults/Review

Newly Formed Robo-Advisor with the SEC

  • Advisor registers a robo-advisory firm with SEC.
  • Advisor receives a notice from examiners to provide its compliance manual and code of ethics
  • Advisor signs up for RIA Review retrieve needed documentation and review regulatory updates
  • Advisor tailors the online documentation templates to his firm’s business model.
  • Advisor delivers his online documentation to SEC Regulators
  • Advisor stores his documentation for books and records requirements
  • Advisor conducts a periodic review using Review Center to fulfill its obligations

California registered Advisor who was recently audited by the Department of Business Oversight

  • Advisor receives a discrepancy letter from examiners to update his ADV and agreements
  • Advisor goes online for RIA Review retrieve summary of ADV disclosures and agreements
  • Advisor tailors the online documentation templates based on examiner requests
  • Advisor files his ADV online to meet regulators
  • Advisor stores his documentation for books and records requirements