RIA Compliance Consultants, Inc. Employee Directory

Financial ServicesNebraska, United States2-10 Employees

RIA Compliance Consultants, Inc. is a small Omaha-based firm of experienced compliance professionals drawn from the securities industry, focused on serving registered investment advisers in the financial services sector. It provides full-service registration and ongoing compliance support for RIAs, including a turn-key process for new adviser applicants that clarifies requirements, helps structure advisory programs, and prepares the Form ADV. It is not a law firm and does not provide legal services.

For existing RIAs, the firm offers a full set of compliance services, covering Form ADV, client and wrap brochures, solicitor arrangements, renewals with annual amendments, IARD service bureau support, code of ethics and supervisory procedures, privacy policies, Section 13(f) filings, Form SH, advertising reviews, training, and annual program assessments and mock regulatory exams. Based in Omaha, Nebraska, the firm targets registered investment advisers and provides guidance to help them meet SEC and industry requirements. A recent development noted in their announcements is the November 17, 2022 launch of Advertising – Endorser – Disclosure Form and Advertising – Testimonial/Endorsement Authorization to assist advisers in complying with the SEC's marketing rule.

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