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We know your time is the most valuable asset, so we make it easier for your firm to comply with both SEC and State regulatory guidelines.

RIAReview is a simple, customizable solution for registered investment advisors. With features such as regulatory news updates, an automated compliance calendar, checklists, online forms and templates, your firm can leverage our system to help reduce discrepancies and/or fines from SEC, State, and FINRA regulators in a frictionless manner.

REGULATORY INSIGHTS

Stay abreast with regulatory changes, new requirements and updates which are critical for ensuring that the firm’s compliance obligations are met.

DOCUMENTATION & ALERTS

Create alerts for filings, client delivery, and document updates. Store data in our highly secure cloud storage to facilitate your firm’s audit preparation, aided by our library of checklists, forms, templates, agreements, and attestation documentation.

COMPLIANCE REVIEW CENTER

Reduce your risk, avoid fines and save firm costs with our online compliance review center; designed to help guide firm’s through the process of reviewing the effectiveness of their compliance programs.

Compliance Process Management & Efficiency at Scale

RIAReview helps firms establish a time saving, simple, cost effective, yet highly streamlined compliance process management. The result? An efficient and flexible, solution which you can tailor in accordance to your unique business model and optimize your firm's data.

Client Documentation

Address the challenges of client onboarding and stay compliant with regulatory demands using our tested, purpose-built application.

Audit Preparation

Reduce advertising compliance risks by creating and updating proper policies and procedures by leveraging our checklists, templates, forms and curated guidelines compiled by no-action letters, regulatory news updates insights and risk alerts.

Compliant Books & Records Storage

SEC Rule 204-2, 17a-3,17a- 4, FINRA and similar state rules /Books and Records mandate the type of records that need to be kept, how long the records need to be stored and protection of client’s data.  RIAreview offers a secure (multi-factor authentication) cloud storage solution with built in redundancies which allow the advisors to update their records management processes and address regulatory requirements.

Recorded Webinar Library

Our recorded webinar series library contains insight on regulatory topics such as: SEC/State Audits, Advertising, Reporting, Filing, Registration, documentation, and other hot topics (new).

Available to Premium and Premium Plus users only.

We will have more resources available for members of our FINCommunity. Contact us for updates.

Versions

Free
$0  / year (limited)
For those who want to try out product
  • Compliance Calendar
  • Guidelines
Click Here
Premium
$995  / year
($82.92/mo billed annually)
For state-registrants
  • Compliance Calendar
  • Guidelines
  • Alerts
  • Checklists
  • Maps
  • Forms
  • Agreements
  • Cloud Storage Directory
Click Here
Premium Plus
$1195  / year
($99.58/mo billed annually)
For SEC Registrants and State Registrants that require an annual review
  • Compliance Calendar
  • Guidelines
  • Alerts
  • Checklists
  • Maps
  • Forms
  • Agreements
  • Disclosure Documentation
  • Review Center
  • Cloud Storage Directory
Click Here
How It Works
1
Check requirements and deadlines
2
Customize the review process
3
Print, file, or store records online

Create a RIAReview account in a few easy steps

Whether you are a large or small firm, SEC RIA, State RIA, Hybrid RIA/Broker- Dealer, or outsourced provider, this solution is tailor-made for your needs.
With an easy to use interface, RIAReview is a highly compatible and smart compliance management solution designed with the aim of minimizing RIA firm/client costs, while unlocking value compliance delivery, usability, interoperability with other systems and savings.

Compliance Template Store

Firms who want an alternative to a compliance management platform can purchase forms, templates, and agreements separately from our online store. Visit our store today!

Talk to a RIAReview Compliance Expert

Request A Demo

More Questions? Check out our FAQ page