RIA Compliance Consultants, Inc. Employee Directory

Financial ServicesNebraska, United States11-50 Employees

Comprised of experienced compliance professionals from the securities industry, RIA Compliance Consultants is a full-service consulting firm providing registration and compliance services for registered investment advisers.

For new investment adviser applicants, RIA Compliance Consultants offers a turn-key registration service. Our compliance consultants can serve as an investment adviser applicant's guide by explaining in detail the registration process and requirements, assisting the investment adviser applicant in structuring its investment advisory programs, and preparing investment adviser applicant's Form ADV. 

For existing registered investment advisors, RIA Compliance Consultants provides a full set of investment adviser compliance services, which include: Form ADV; client brochure; wrap brochure; solicitor arrangements; investment advisor registration renewals and Form ADV annual amendment; IARD service bureau; code of ethics and supervisory procedures; privacy policies and procedures; Section 13(f) filings; Form SH; advertising review; compliance training; annual review and compliance program assessment; and mock regulatory exams.

Please note that RIA Compliance Consultants is not a law firm and does not provide legal services.

Find RIA Compliance Consultants, Inc. employees' phone numbers or email addresses

RIA Compliance Consultants, Inc. Global Highlights

North America
26

United States Of America
26

Africa
1

Tunisia
1

RIA Compliance Consultants, Inc.'s Leadership

B. H.
Founder & President
Mobile Phone
Email
J. J.
Senior Vice President
Mobile Phone
Email
K. R.
Office Manager
Mobile Phone
Email
T. O.
Senior Compliance Consultant
Mobile Phone
Email
T. Z.
Senior Compliance Consultant
Mobile Phone
Email
G. P.
Data And Marketing Analyst
Mobile Phone
Email
A. L.
Compliance Analyst
Mobile Phone
Email
C. Y.
Whitewater Raft Guide
Mobile Phone
Email

Contact profiles from RIA Compliance Consultants, Inc.

Name

Title

Contact Info

Location

Last Update

T. B.
Marketing Specialist
Mobile Phone
Email
United StatesIowa
Nov 11, 2025
T. E.
Consultant
Mobile Phone
Email
United StatesNebraska
Oct 10, 2025
D. D.
Mobile Phone
Email
UNITED STATES
Mar 08, 2023

Frequently Asked Questions

What is RIA Compliance Consultants, Inc. known for?

RIA Compliance Consultants, Inc. operates in the Financial Services industry; you can contact the main corporate office by phone at

+1-402-991-****

. Explore RIA Compliance Consultants, Inc.'s company overview page for more information.

What is RIA Compliance Consultants, Inc.'s most common email format?

RIA Compliance Consultants, Inc. employees' email format typically follows the pattern of . Trying to find reliable and up-to-date employee contact data? Find more RIA Compliance Consultants, Inc. email formats with LeadIQ.

How many employees does RIA Compliance Consultants, Inc. have currently?

RIA Compliance Consultants, Inc. has approximately 11 employees as of December 2025. These team members are located across 2 continents, including North AmericaAfrica.

Who are RIA Compliance Consultants, Inc.'s key employees and leadership?

As of December 2025, RIA Compliance Consultants, Inc.'s key employees include:

Founder & President: B. H.
Senior Vice President: J. J.
Office Manager: K. R.
Senior Compliance Consultant: T. O.
Senior Compliance Consultant: T. Z.

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