Financial Planners Assistance
Financial Planners Assistance concentrates on RIA compliance, offering federal and state registration, continuing program support, mock audits, modular outsourcing, and named CCO service. Its website is unusually transparent about current pricing, although firms should verify the latest amounts, scope, and regulatory fees directly before relying on them.
Overview
Financial Planners Assistance is an RIA-focused compliance consultancy serving firms through formation and ongoing operations. Its services span state and SEC registration, foundational documents, continuing advice, regulatory filings, mock audits, targeted outsourcing, and a named CCO option.
The company publicly presents prices for its core registration and recurring-support offerings, a level of transparency that is uncommon in this market. This profile does not repeat the figures because they can change; prospective clients should confirm current amounts and inclusions on the firm’s website and in a written proposal.
Who it may suit
The firm may suit a financial planner or investment adviser establishing a new practice and looking for one provider to prepare the registration package and initial compliance framework. It may also fit a smaller RIA whose internal CCO wants continuing guidance, document maintenance, advertising review, licensing help, and examination support.
Its modular approach creates another path for advisers that want to outsource selected recurring functions rather than transfer the entire program. Firms considering a fully external CCO can evaluate a separate engagement built around that responsibility.
RIA compliance services
Registration work includes federal or state filings, disclosure documents, advisory agreements, a compliance manual, a code of ethics, privacy materials, continuity planning, cybersecurity policies, insider-trading controls, and solicitor-related documents where relevant.
Continuing support covers amendments and annual updates, program-document revisions, advertising review, representative registration forms, compliance education, regulatory developments, and remote assistance during an examination. The company also offers on-site or remote mock audits, selected outsourced functions, and outsourced CCO service.
How the engagement works
The reviewed materials describe several service levels rather than one mandatory package. A new adviser can purchase registration as a defined project. An operating RIA can use continuing consulting, arrange a mock audit, choose individual outsourced functions, or discuss a named CCO relationship.
Published pricing provides a useful starting point, but it does not eliminate scoping. Regulatory fees, firm complexity, additional jurisdictions, in-person work, revisions, and work outside the listed deliverables may affect the final commitment.
What stands out
The clearest distinction is commercial transparency paired with an RIA-specific service menu. A buyer can understand the broad delivery choices before an introductory call, including the difference between advice, modular execution, and a formal CCO option.
The mock-audit choice is also practical: an adviser can select remote or on-site review depending on its risk, records, and desired level of operational testing.
What to clarify before contacting
Confirm the current price and request a written list of included filings, documents, meetings, reviews, response times, and revisions. Ask how the quoted scope changes for multiple states, private funds, unusual strategies, disciplinary disclosures, or a regulatory examination.
For recurring or CCO work, map every calendar item and decision to the consultant or the RIA. The agreement should address authority, escalation, record access, testing evidence, filing approvals, on-site availability, additional fees, staffing continuity, and transition support if the relationship ends.