"The new MyRIACompliance website is a one-stop shop that makes my life as the CCO much more efficient. I have everything at my finger tips to make sure I'm on top of all the different compliance components, which puts our firm in a great place. Excellent site and easy to do all the difficult and overwhelming compliance tasks."

- Mark C.

RIA in Minnesota



"After many years with broker dealer systems and support, I'm pleasantly surprised with MyRIACompliance. Simply, MyRIACompliance is a superior product."

- Mark O.

RIA in Michigan

 

Features

Interactive Checklists

A completely custom set of questions that focus on a firm's compliance responsibilities each month.

Compliance Calendar

The Compliance Calendar is an individualized summary of a firm's compliance tasks.

Expert Consultants

Access to our expert team of former regulators to answer all compliance and registration questions.

Request Changes

An easy way for a firm to add a new representative or make form ADV updates.

ADV 1 Status Monitor

A quarterly document that is generated based on a firm's current filing status and disclosed business operations.

Renewal Tracker

The entire process is broken down into easy steps that keep the firm informed and up to date.

MyRIARegistration

A quick and in-depth review of the firm's and individual representatives' current registration status.

Video Guides

A compliance 101 series of videos. Videos cover an array of topics.

Registration Tracker

The process is dissected and organized into simple steps to expedite a firm's registration requirements.

MyRIACompliance is paired with our expert staff of former regulators to offer the total RIA compliance solution