Compliance 911 Solutions
Compliance 911 Solutions supports investment advisers and broker-dealers with registration, program administration, and recurring back-office compliance work. RIAs can select a flat-monthly bundle, add enhanced services, or engage the firm for individual projects and hourly consulting, creating several ways to supplement an internal compliance function.
Overview
Compliance 911 Solutions is an independent consulting firm that works with both investment advisers and broker-dealers. For RIAs, the relevant offering centers on registration support, program documents, compliance calendars, recurring filings, personnel onboarding, training, annual work, and outsourced administrative capacity.
The commercial structure is unusually visible. A client can begin with a standard group of recurring services, add enhanced functions, select individual items, or use hourly consulting. That flexibility can be useful, but the mixed adviser and broker-dealer service list requires careful scoping.
Who it may suit
The bundled back-office model may suit a smaller or midsize RIA that wants operational help without building a larger internal department. New advisers and firms making registration or personnel changes may also use the firm for applications, amendments, disclosure forms, and onboarding work.
Established firms can add advertising review, annual reviews, risk assessment, AML work, or hourly advice. Organizations registered as both an adviser and broker-dealer may find the broader coverage relevant, while RIA-only buyers should separate FINRA and supervisory services that do not apply to them.
RIA compliance services
The standard package includes written procedures, compliance calendars, training-plan administration, AML procedures, firm filings such as Form ADV and Form CRS, representative forms, business-continuity planning, and state-registration applications.
Enhanced or individual services include registration renewals, AML examinations, advertising and communications review, annual compliance meetings, annual reviews, risk assessments, and consulting. Some published items concern broker-dealer filings, branch examinations, disciplinary disclosures, and supervisory controls; those are not treated as evidence of the RIA offering.
How the engagement works
Compliance 911 presents its standard services as a bundle charged at a flat monthly rate. Enhanced services can be added to that base, and the company says listed services are also available individually. Hourly retainer consulting provides another option for questions or work outside a package.
The reviewed pages do not specify deliverable frequency, included service volume, staffing, response targets, or the line between advice and decision-making. The engagement should assign each recurring obligation and establish how exceptions are approved and billed.
What stands out
The main differentiator is the combination of bundled back-office support and modular purchasing. RIAs that know which operational tasks they want to delegate can compare a recurring package with à-la-carte work instead of assuming that every service requires a broad annual program.
The firm’s experience across adviser and broker-dealer regulation may help dual registrants. For an RIA-only business, however, breadth is valuable only if the proposal clearly removes unrelated services and pricing.
What to clarify before contacting
An RIA should request an adviser-specific service matrix showing every standard, enhanced, and hourly item. It should confirm responsibility for IARD and state filings, policies, training records, annual reviews, risk assessments, advertising, AML work, and business-continuity documents.
Buyers should also ask who performs and reviews the work, what is automated, how the calendar is shared, what evidence is delivered, and whether the firm offers examination or named CCO support. Pricing for excess volume, urgent requests, and work outside the bundle should be documented.