RIA compliance consultants


RIA Compliance Consultant, New RIA

Nicholas J. Weiner

AVP, Program Executive

(207) 809-9067

Errors & Omissions / Cyber Liability  - As an investment advisor, even the littlest detail can make a huge impact—such as those tiny footnotes in the back of a prospectus or annual report. For your firm’s professional insurance coverage, the details are also important. And quite often, those details may not be in your favor. That’s why your firm needs insurance coverage developed for financial service professionals that is written to protect you, your firm, and your assets.

Surety Bonds - Some states require you obtain a surety bond.


NOTE: If required to purchase please be sure to fill in all sections of the application including name and address of the business, date of birth and FEIN for business. Indemnitor is the owner of the business.


Business Owners Policy /  Workers’ Compensation - A Business Owner’s Policy (BOP) combines business property and business liability insurance into one business insurance policy. BOPs help cover your business from claims resulting from things like fire or theft as well as those that could arise from your business’s operation like bodily injury or property damage.


Workers’ compensation insurance provides benefits to employees for work-related injuries or illnesses including medical care, wages from lost work time, and more. (The following are monopolistic states and workers’ comp coverage must be purchased through the state directly: WY, WA, ND, WV & OH)

Polaris Compliance Consulting, LLC is pleased to announce our resource partner, GoingIndie.com. GoingIndie.com serves as a resource to provide timely and practical information on Going Independent and all that's involved in the process with a mission to be the "Industry Resource" for the breakaway broker as well as those who have recently made the move. Please visit www.GoingIndie.com for more information.

U.S. Securities and Exchange Commision


RIA Compliance Consultant, New RIA

NASAA offers resources for the regulatory community and securities industry professionals, as well as capital formation resources for small businesses and entrepreneurs.

RIA Compliance Consultant, New RIA

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.