Most advisors don't know how to register and make their RIA compliant

Our registration process gets you ready for an exam & you’ll feel confident you are completely compliant

We Understand How Frightening An Audit Could Be

David Millar, J.D.

President — Co-Owner

Kathleen Dunn, J.D.

Vice President — Co-Owner

Jesse Case
Jesse Case, CFE

Director of SEC Compliance

Head Shots 1 copy
Nichole Blair

Senior Compliance Consultant

Website Pic - Melissa
Melissa Valkier

Compliance Specialist​

circle headshot
Kyle Martens

Compliance Specialist​

Dan Hushek 2 copy
Daniel Hushek

Compliance Specialist​

2024-05-13 23_17_54.441-0400
Stephanie Kajtazovic

Administrative Assistant

We know what it feels like to be confused about trying to be compliant and not have peace of mind.

If you’re like many RIAs, you don’t know if you are compliant and how to do it the right way. You’ve likely wondered if there was a way that you could be compliant without spending hours doing so. We know you want to become confident in your compliance, and it’s wrong to live in fear of the possibility of regulators taking away your ability to work.

At RIA Made Easy, we get it.

We care about helping you be compliant. For the past 15 years, we’ve helped hundreds of advisors just like you become compliant and be ready for a regulatory audit. We are committed to helping you be compliant so that you can stop being fearful of a regulatory audit.

The process is simple —
Step 1. Schedule A Consult.
Step 2. Assess Your Needs.
Step 3. Become Compliant

Once you Schedule a Consult, you’ll have taken the first step to achieve confidence in your compliance. You won’t have to worry about a thing anymore.

We believe being compliant should be easier and you deserve compliance peace of mind. We help you register & stay compliant so that you can rest at the ease knowing you are protected.

Schedule a Consult so we can get started.

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.