RIA Compliance Services

Comprehensive RIA Compliance Services

ARS offers RIA Compliance services that include, but are not limited to:

• Prepare and Submit Initial SEC Form ADV Registration
• Prepare and File Annual ADV Amendments and Updates
• Create and Maintain Form ADV Part 2A (Brochure) and Part 2B (Brochure Supplements)
• Develop and Update Written Compliance Policies and Procedures (Rule 206(4)-7)
• Conduct Annual Rule 206(4)-7 Compliance Program Reviews and Reporting
• Create and Maintain Code of Ethics and Personal Trading Policies
• Develop and Monitor Advertising and Marketing Compliance (Marketing Rule)
• Maintain Books and Records in Accordance with SEC Requirements
• Conduct Periodic Compliance Testing and Surveillance
• Prepare for and Support SEC Examinations
• Provide Ongoing Regulatory Updates and Compliance Bulletins
• Review Surveillance, Testing and Reporting of Cybersecurity Policy and Business Continuity Plan
• Review Client Agreements and Disclosure Documents
• Provide Annual Staff Training on Compliance Requirements and Best Practices (Including Code of Ethics/Personal Trading Policies and Procedures)
• Conduct Risk Management Trade Surveillance Reviews

Your Trusted Partner

As a Registered Investment Advisor, you have a fiduciary duty to your clients. Our team understands the unique compliance challenges RIAs face and provides practical solutions that protect both your clients and your firm.

With extensive experience supporting investment advisors of all sizes, ARS delivers the expertise you need to navigate SEC regulations, maintain robust compliance programs, and focus on what matters most—serving your clients.

Partner With RIA Compliance Experts

Schedule a consultation to learn how we can support your investment advisor compliance needs.