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
President — Co-Owner
Kathleen Dunn
Vice President — Co-Owner
Jesse Case
Director of SEC Compliance
Nichole Klein
Compliance Specialist
Melissa Valkier
Compliance Specialist
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.
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.