Confidence In Your Compliance

RIA Compliance To Give You Peace Of Mind

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Save Money

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Afraid You Aren't Completely Compliant?

Don't have the time to do it yourself?
New to the industry, unsure where to start?
Don't understand the rules?
Afraid of A Regulatory Audit?
Confused from all the paperwork & forms?
Worried you aren't set up legally?

We wanted to start our own RIA back in 2006 and with the ever-changing policies and regulations we weren’t very confident that we could do it ourselves. RIA Made Easy registered us correctly and makes sure we are compliant year in and year out. Since 2006, we have done over 1 Billion in AUM. I have the utmost confidence in the services and that you will enjoy working with them for your RIA compliance.

– J. Hibshman, Lakeside Wealth

You Deserve Compliance Peace Of Mind

Prepared

Being audited can be one of the most frightening moments in your career. Have the confidence of being 100% prepared for a regulatory audit at any moment.

Supported

When the auditor calls, we assist with your preparation and will be in contact with the auditor. Also, if an auditor requests a revision or change, you have our full support to keeping you compliant and working.

Organized

Your ADVs, required book records, and compliance documents will be organized so that you are ready to provide when requested by an auditor.

In 2013, I was seriously considering retiring from my investment advisory business. I was so overwhelmed with compliance, requirements and new regulations that I was ready to call it quits. RIA Made Easy was so attentive and efficient with keeping me up to date all compliance matters that I once again enjoyed my career. I was able to invest more time into my clients and growing my business. My life now have become less hectic and more enjoyable thanks to RIA Made Easy. I 100% refer them to anyone in the finance and investment advisory fields.

– J. Salzmann, RIA

Being Compliant Should Be Easier

Step 1
Schedule A Consultation
Step 2
Assess Needs
Step 3
Become Compliant

We Care About Helping You Become Compliant

15+ Years Of Experience
We understand how complex being compliant is.
Over 500 Registered RIAs
We understand how scary A Regulatory audit can be.

Our Pricing Options

Fundamentals

$250-500/Month
State - SEC/Month
  • Initial Compliance Onboarding Call
  • Smart RIA - 1 User (IAR)*
  • 4 Onboarding Calls to Customize Smart RIA
  • Customized Online Compliance Calendar
  • Customized Online Compliance To Do Lists
  • Quarterly Group Compliance Conference Calls
  • IARD Service Bureau
  • Annual ADV update Assistance
  • Online Employee Attestations
  • Access to Recorded Compliance Training Webinars
  • Regulatory Notices
  • Semiannual - One on one compliance calls
  • 3-5 Hours of Additional Consulting Time

Advanced

$1250-2250/Month
State - SEC/Month
  • Everything From "Hands-On"
  • Smart RIA - 1-5 Users (IAR)*
  • 30 Hours of Consulting Per Year
  • 2 - onsite visits per year
  • Registration of up to 20 new IARs per 12 months
  • Quarterly one-on-one compliance calls
  • Unlimited Email & Telephone Questions
  • Unlimited Document editing
  • Unlimited ADV Editing
  • Notice filing in new states
  • Unlimited Review of Client Advertising
  • Customized Internal Controls
  • Update Compliance Manual as Regulations Change
  • Offsite Review of Compliance Program via Smart RIA

Hands-On

$800-1250/Month
State - SEC/Month
  • Everything From "Fundamentals"
  • Quarterly one-on-one compliance calls
  • 20 Hours of Consulting Per Year
  • Registration of up to 15 new IARs per 12 months**
  • Unlimited Email & Telephone Questions
  • Unlimited Document editing
  • Unlimited ADV Editing
  • Notice filing in new states
  • Unlimited Review of Client Advertising
  • Customized Internal Controls
  • Offsite Review of Compliance Program via Smart RIA
  • Update Compliance Manual as Regulations Change

Are Your Prepared For A Regulatory Audit?

Are you confident you can survive a regulatory audit by yourself?
How much money are you willing to pay in fines by not being 100% compliant?
How much time are you wasting on trying to be compliant that you could be spent working?
business man with problems and stress in the office
Business meeting

Are You Fully Compliant?

Take this free quiz to see if you are covered and protected from a regulatory audit so you can avoid getting fined or losing your license.

Thank you! Check your email for the quiz link.