RIA Compliance Group
RIA Compliance Group supports advisers from initial registration through day-to-day maintenance, staying in regular contact with state securities regulators on clients’ behalf. It also handles annual review obligations and offers Smart RIA software to streamline cybersecurity and program tasks.
Overview
RIA Compliance Group is an adviser-focused consultancy serving new and established SEC- and state-registered firms. Its services include registration, continuing access to consultants, annual program reviews, mock examinations, cybersecurity work, marketing review, customized procedures, and a software option.
The company presents software as an aid to its human service rather than a replacement for it. Its customized SmartRIA offering comes through a strategic alliance, an important distinction when evaluating product ownership, support, and contractual responsibilities.
Who it may suit
The firm may suit a new RIA that needs federal or state registration, disclosures, and a program designed around its business. It may also fit a smaller operating adviser that wants packaged consulting hours and periodic access to experienced personnel without transferring the CCO title.
Advisers interested in software can evaluate a platform for recurring calendars, documents, ethics, employee supervision, and policy tasks. Firms seeking a purely technology-led product or a named outsourced CCO should confirm whether those models are available.
RIA compliance services
Consulting covers registration, Form ADV work, continuing regulatory questions, annual reviews, on-site or remote mock examinations, cybersecurity programs, advertising support, and policies tailored to the adviser’s operations. The source materials emphasize both SEC requirements and state-level registration and examination issues.
The customized SmartRIA platform supports registration and notice-filing monitoring, monthly review workflows, compliance calendars, a cloud-based file repository, ethics disclosure workflows, employee supervision, policy implementation, assigned tasks, educational resources, and client-onboarding oversight.
How the engagement works
Registration and examination work can be purchased as projects. Ongoing assistance is sold through consulting packages that provide a pool of time for issues arising during the relationship. Annual reviews and software can add structured recurring components.
The public pages do not explain whether software is included in consulting packages, separately licensed, or contracted through SmartRIA. They also do not publish the number of hours, service levels, implementation terms, or pricing needed to compare packages.
What stands out
RIA Compliance Group’s distinction is its combination of state and SEC consulting with an RIA-specific software option. State rules and local examination practices can matter significantly to smaller advisers, while the platform may help translate advice into repeatable tasks and records.
The company also states that clients retain editable copies of their documents. That can make provider transitions easier than a model in which essential procedures are locked inside proprietary formats.
What to clarify before contacting
Request a responsibility and deliverable list for registration, filings, annual reviews, mock examinations, cyber work, advertising, procedures, and continuing questions. Confirm included consultant hours, response expectations, assigned personnel, regulator communication, revisions, findings, remediation, and actual-examination availability.
For SmartRIA, clarify the contracting party, version, modules, implementation, integrations, support, data location, security, retention, permissions, audit trails, export, and termination portability. Ask which workflows require human review and how consulting records relate to platform records.