Disclaimer: Polaris Compliance Consulting, LLC is not a law firm, and we do not give any legal advice. As a consulting firm, we give our personal interpretation of the rules and regulations based on our experience, and we cannot guarantee that any areas advised will be favorably viewed by regulators.

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START AN RIA

​Thinking about starting an RIA?  We provide experienced guidance on starting your own RIA and getting registered with the Securities Exchange Commission or State Securities Authorities.  In addition to getting you registered, we also establish your compliance program tailored and customized to your firm's business plan.

MOCK EXAMINATIONS

Are you prepared for a regulatory examination?  Would you have all of the required documents ready to present to the regulators, and do they contain all of the required information?  Having an independent mock regulatory examination performed by a former regulator will let you know what to expect.  

ESTABLISHED RIAs

Do you have questions about your State's requirements?  Do you need specific documents, or perhaps you need an entire compliance program?  Whether you are a solo practitioner or have multiple advisors with your firm, we provide quality compliance services and give the utmost attention to your needs. 

RIA compliance Consultant

Just as the North Star Polaris has been used for guidance and direction for hundreds of years, we are here to guide you in the right direction of compliance. 

 RIA Compliance Consultant

Polaris Compliance Consulting, LLC is a consulting firm specializing in compliance for Registered Investment Advisors. We provide expert compliance guidance for emerging and established businesses by consultants that have served as former regulators, consulted for the "Big 4" accounting firms, as well as worked for the top investment firms on Wall Street. Satisfying compliance obligations is becoming increasingly difficult with new and existing rules and regulations, and finding in-house expertise can be costly and challenging. Whether you want to start your own RIA, or need a compliance assessment analysis conducted of an existing program, we offer solutions that meet your needs and find ways to make compliance fit seamlessly into your business model.

Polaris Compliance Consulting, LLC provides Registered Investment Advisors ("RIAs") with services that support compliance with the Securities and Exchange Commission ("SEC") and State Securities Authorities.

We believe in open two-way communication and we are here to provide you with the best level of service.  We are well-versed on the latest regulatory requirements and can assist you in gettng your compliance program up-to-date with the most current rules and regulations.