Navigate RIA compliance with ease.
Bolster your practice with RIA compliance consulting. We tailor comprehensive solutions for Registered Investment Advisors (RIAs). Stay ahead of SEC regulations, state requirements, and fiduciary standards to remain both compliant and client-centric.
Benchmark offers these Registered Investment Advisor Services:
RIA Registration Services
Compliance Support Services
Outsourced Chief
Compliance Officer Services
Testing and Mock Examination Services
SATISFIED CLIENT
“We needed to fully launch our RIA and needed everything built from the ground up. It’s been a successful ride for us, since launch, and Benchmark has been a key partner for making that happen.”
— Tom S., RIA
Fast-forward registrations.
RIA Registration Services
Whether you’re ready to register with the Securities Exchange Commission or on a state level, we can guide you through the registration process, ensuring timely registration.
Our consultants, with a wealth of SEC and state regulatory experience, will ensure you are up to date with industry best practices and current regulatory trends.
Simplify documentation.
Ensure your RIA’s main disclosure document is thorough and complete.
Set up industry best practices to aid your business from the outset.
Rest assured your business can withstand regulatory scrutiny over time.
Ask us about:
Form ADV Part 1A
Form ADV Part 2A
Form ADV 2B (Brochure Supplements)
IARD Administration
State Notice Filings, among other items
Level-up RIA compliance.
Compliance Program Support Services
Effective compliance solutions require regular support and knowledge-sharing to stay on top of the global regulatory environment. Gaps in regulatory compliance can lead to fines, sanctions, and reputational damage.
Using technology to maximize efficiency, we provide true value – positioning your firm to meet rapidly evolving compliance requirements.
Reduce stress and gain peace of mind working with experienced financial industry compliance professionals.
Keep current with compliance support:
Guidance includes up-to-date business model-specific templates that allow you to manage strong compliance solutions, without question.
Training reduces non-compliance risk and increases operational effectiveness.
Support during regulatory examinations offers peace of mind.
Access experts on demand.
Outsourced Chief Compliance Officer Services
Outsourced CCO services match you with dedicated experts to meet your most pressing needs.
Tap into the wisdom of knowledgeable, industry-tested professionals – without the ongoing expense of a full-time hire.
Outsourced CCO
Benchmark Compliance can provide you with experienced industry professionals with deep knowledge to support and augment your compliance efforts.
Our consultants have years of industry experience and will be a valuable addition to your firm’s supervisory structure, whether you’re an RIA or dually registered broker-dealer/investment adviser.
Avoid regulatory scrutiny with a CCO:
Take the guesswork out of finding the right candidate to meet your firm’s compliance needs.
Tap into skilled and experienced CCO professionals who offer superior industry knowledge and strong compliance capabilities.
Road test compliance.
Testing and Mock Examination Services for RIAs
You’ve implemented a compliance program, but how do you know it works? How do you ensure your program is covering all the gaps?
Testing is one of the best ways a firm can identify and prove its control environment's effectiveness.
The SEC (and many states) require evidence in the form of Annual Reviews to document this. We can review your policies and procedures alongside examination priorities and then test their effectiveness.
Schedule a mock exam to gain actionable insights into your compliance program’s gaps.
Put your program to the test:
Identify potential weaknesses.
Provide assurances of an effective control environment.
Rest assured that your program is current and operational.
Which services are right for you?
Book your complimentary 30-minute consultation where we talk about you and your business — to learn what you get with each service and explore the next right step to help you achieve your goals.