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We take a different approach from other compliance consulting firms when it comes to the services we provide. Most compliance consulting firms will try and sell you some type of retainer or monthly service, as this provides a steady stream of revenue for the consulting firm. Although we can provide this service if necessary, many times for the smaller state-registered RIAs this is not necessary with a properly established/reviewed compliance program, a trained staff person, and someone to call for occasional questions. That is why we prefer to work on a project-basis, flat-fee, and you can ask unlimited questions without an hourly rate adding up.
Ask yourself, are you really getting a true value-added service from a monthly fee? And if you really needed assistance on something else not included, such as preparation for a regulatory exam, how much extra is that going to cost? Get the help you need, today!
Compliance Services RIA compliance consultant
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