Successful RIA Firms
Most firms are dedicated to delivering the best possible experience, investment advice and guidance to their clients. The most successful firms focus on meeting and exceeding their regulatory compliance responsibilities. However, firms that focus on cost and efficiency tend to struggle with their compliance obligations and growing AUM. We have found that these firms are really not efficient because they fail to incorporate the time spent trying to keep up with the ever changing rules and expectations put out by the Securities and Exchange Commission (“SEC”) and the state securities regulators.
State & SEC Registration, Annual Filing & Custom Compliance Solutions
Aurora stands tall when compared to its competition because of the quality of its representatives. Comprised of experienced and knowledgeable compliance professionals from the financial industry, Aurora Compliance Solutions focuses on compliance outsourcing and consulting. We deliver a wealth of experience and knowledge that will help you navigate your firms compliance responsibilities with confidence.
If you are planning on starting a new RIA firm, Aurora Compliance Solutions offers customized turn-key registration services at very competitive pricing. Our compliance consultants assist new firms with the registration process, meeting the requirements, and by creating customized forms, agreements and manuals.
Aurora Compliance Solutions can help you and your firm stay on top of the ever changing compliance and regulatory environment. We work with your investment advisor firm to identify the regulatory challenges and assist your investment advisory firm’s President, CEO, and Chief Compliance Officer (“CCO”) implement a compliance solution and strategy designed to exceed your firm’s regulatory responsibilities.
Form ADV Part 1A & 1B, 2A & 2B
IARD system filing
Firm brochure creation and customization
Wrap fee brochure
Annual ADV filing and amendments
Code of Ethics
Cyber Security Policy
Policies and procedures manual
Advertising & Marketing Reviews
Compliance Strategy Reviews
Business Continuity Plan
Mock compliance audits