Registered Investment Adviser

FinServ Compliance Solutions for Registered Investment Adviser Firms

Whether you are a state registered or SEC registered firm, FinServ Compliance can help you maintain a system to supervise the activities of there advisors and to achieve compliance with securities laws and regulations and SEC’s rules.  

Developing a robust compliance and supervisory program which regulations is the ultimate goal.  

Our RIA practice helps your firm implement these programs. No matter the size of your firm!

Some of our Solutions

  • Advertising and Marketing Rule
  • FSC Risk Assessment
  • Annual Amendment and Regulatory Filings
  • Policies and Procedures (New or Updating Services)
  • Merger and/or Acquisition
  • Annual Reviews
  • Best Execution, Spot Dollar, Trade Allocation and Proxy Voting Compliance
  • Compliance Consulting services
  • Internal Control Reviews
  • SEC Reg BI and FROM CRS
  • State to SEC Transition Filing