True West
True West supports independent RIAs through tiered compliance consulting plus legal coordination, IT governance, finance, and proprietary Herdware platform technology. Its compliance levels cover registration, filings, documents, training, annual reviews, marketing, examinations, testing, cybersecurity coordination, vendor oversight, and electronic-correspondence review.
Overview
True West provides compliance and operational support specifically for independent RIAs. Its broader model combines compliance consulting with legal coordination, IT operations and governance, financial management, and a technology layer centered on the proprietary Herdware platform and selected partner systems.
The compliance offering is organized into Base, Advisory, and Operational support levels. This creates a path from filings and document maintenance through annual reviews, marketing, examinations, testing, cybersecurity coordination, vendor management, and electronic-correspondence review.
Who it may suit
True West may suit a new adviser that needs registration, policies, disclosures, and practical operating infrastructure. It can also fit an established RIA whose internal CCO wants recurring tasks, education, filings, marketing review, or examination preparation handled with a regular meeting cadence.
The integrated model may appeal to firms trying to connect compliance with finance, technology, cybersecurity, and operations. Buyers that want an independent compliance-only provider should determine whether the platform and multidisciplinary services can be separated cleanly.
RIA compliance services
Base Support covers IAR filings, annual updates, IARD and Form ADV activity, core documents, policies and procedures, ethics and privacy templates, tools, education, and task reminders. Advisory Support adds the annual ADV amendment, disclosure updates, risk-matrix work, marketing review, Rule 206(4)-7 assistance, an annual meeting, SEC or state examination help, continuing-education tracking, and scheduled calls.
Operational Support adds internal-file administration, a monthly CCO checklist, program maintenance and testing, detailed advertising files, quarterly Form 13F work where applicable, best-execution documentation, electronic-correspondence review, and coordination of cybersecurity, archiving, and review vendors.
How the engagement works
An RIA selects a service level, while the firm’s wider operational needs can bring in legal, IT, cyber, or finance support. Herdware is presented as a centralized view across those functions. Greenboard supports communications and compliance workflows, while Advisor Armor provides cybersecurity and IT-governance tooling.
The reviewed pages do not publish pricing, contractual terms, response times, or a complete responsibility matrix. Third-party continuing-education access and partner technology may also have separate terms.
What stands out
True West is unusually explicit about connecting compliance with the rest of an RIA’s operating stack. Herdware may give leadership a consolidated view instead of requiring the compliance team to reconcile several disconnected systems manually.
The tiered menu also makes service growth visible. However, technology consolidation is valuable only if the underlying system of record, approvals, data ownership, security, and exit process are clearly documented.
What to clarify before contacting
Map every recurring task to True West, the CCO, another employee, counsel, or a technology partner. Confirm filing authority, approval steps, testing evidence, marketing turnaround, examination availability, staff continuity, and activities charged outside the selected level.
For Herdware and partner tools, request the data model, integrations, permissions, retention, cybersecurity controls, incident duties, portability, implementation timeline, support, and total fees. Clarify whether legal help is provided by separately retained counsel, and distinguish advice, coordination, and privileged legal work in writing.