Compliance help for investment advisers.
(without the expensive contract.)
Get on-demand answers, practical guidance, and ready-to-use templates to run your compliance program with confidence - starting today!
Key Features & Benefits
On-Demand Compliance Q&A
Get fast answers to real questions about topics including:
ADV updates & filings
SEC Marketing Rule compliance
Code of Ethics Requirements
Policies & Procedures
AND MORE
Practical Compliance Library
Templates
Checklists
Step-by-step guides
Frequently updated and INCLUDED in your membership.
Stop Guessing Your Way Through Compliance
If you're a small or growing Registered Investment Adviser, compliance can feel overwhelming.
You need fast, reliable guidance—when you need it.
Compliance Expertise
Trust that the answers to your compliance questions are coming from experienced compliance professionals, including CCOs, with YEARS of experience in the industry.
Here's How It Works
✔️Log in and ask your question - anytime!
✔️Receive a chat response from an experienced compliance expert.
✔️Complete your compliance tasks with confidence!
Additional Services Available
A LA CaRTE
Additional compliance support is available any time from our compliance experts, but you only pay for what you need.
Document Review
Whether you're updating your Form ADV or refining your compliance manual, we provide a detailed review to ensure your documents align with current regulatory expectations. We assess clarity, completeness, and consistency across your materials—highlighting gaps, inconsistencies, and potential risk areas. Instead of vague comments, you’ll receive specific recommendations you can implement immediately to strengthen your compliance program.
Marketing Review
Stay compliant with the SEC Marketing Rule without second-guessing your content. We review your marketing materials—including websites, social media posts, pitch decks, and advertisements—to identify potential compliance issues and provide clear, actionable feedback. You’ll get straightforward guidance on required disclosures, performance presentation, testimonials, and overall messaging so you can confidently publish without risking regulatory scrutiny.
Phone or Video Calls
Need to talk something through in real time? Book a focused 30- or 60-minute consultation to get immediate clarity on your compliance questions. Whether you're dealing with a time-sensitive issue, preparing for an exam, or working through a complex scenario, these sessions provide direct, practical guidance tailored to your firm—without the commitment of an ongoing consulting engagement.
Annual Review - Rule 206(4)-7
Satisfy your obligations under Rule 206(4)-7 with a structured, practical annual review of your compliance program. We evaluate the adequacy and effectiveness of your policies and procedures based on your firm’s actual operations, identify areas of weakness, and provide a clear roadmap for remediation. The result is a documented review process that not only checks the regulatory box—but genuinely improves how your compliance program functions.
Frequently Asked Questions
Still have questions? Take a look at the FAQ or reach out anytime. If you’re feeling ready, go ahead and subscribe.
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No. Membership can be canceled at any time.
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RIA Compliance Desk provides compliance guidance and practical observations but does not provide legal advice.
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Small and mid-sized registered investment advisers, startup RIAs, solo firms, and Chief Compliance Officers looking for practical ongoing compliance support.
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Most questions receive a response within 1 business day.
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Anything related to investment adviser compliance, including Form ADV, annual reviews, SEC marketing rules, books and records, policies and procedures, registration, Code of Ethics, examinations, and general compliance best practices.