RIA Compliance Consulting & Outsourcing

Don’t let compliance get in your way.

Compliance RIA Audit

The CCO Guidance is geared for the existing adviser that is comfortable handling compliance in house. CCO Guidance helps them stay on top of regulatory changes and gives them the ability to get questions answered quickly.  The adviser that chooses this option typically has very little advertising or marketing material and does not produce original content.   The CCO Guidance is perfect for the adviser that is stagnant and/or winding down a small firm.  Whether they are getting ready for retirement, looking to spend more time traveling.

The “CCO Guidance ” was created for the advisory firm that has the time, not interested in growing the RIA firm, enjoys wearing multiple hats and is comfortable dealing with regulatory responsibilities. It allows the adviser to have an expert to guide them and/or answer questions so they can stay on top of regulatory changes with minimal effort.

Compliance

The “Full Service” compliance option is geared for the advisory firm that has an established niche and prefers to be networking and meeting with clients and prospects rather than dealing with compliance obligations. They are happy with their current situation and are comfortable outsourcing their compliance responsibilities to the experts. The Full Service Option is our most popular choice for SEC registered advisors and/or advisors that are growing their aum. It is very attractive to the firm that that is unhappy with their existing compliance strategy and looking for the best value proposition available.

The “Full Service Option” gives your firm peace of mind and ready for a State or SEC audit while not skipping a beat.

RIA Growth Mode

The Growing Firm is on top of their game and is geared for growth. They are very active in their marketing, advertising and networking endeavors in an effort to grow their client base. They are looking for full service compliance and seek to learn and implement practices that look to grow there business.   Aurora assists by incorporating a compliance strategy and a marketing strategy in tandem with each other. It includes all the services from the “Full Service” and adds content management. The aim is keeping your firm compliant while driving new sales to your firm. Most small advisory firms use cookie cutter methods to drive inbound sales and this often leads to stagnant growth.  They also use the same or similar content to each other that tends to be sporadic with advertising and marketing strategies. The goal here is to help keep your firm on top of compliance while actively pursuing new business opportunities.

The”Growth Option” not only brings a top notch compliance strategy but top notch customized fresh, relevant and original content.

RIA Ret plan benefits

It s very important for RIA’s to educate plan participants around their “Fiduciary Responsibility” toward their eligible plan participants.  As a fiduciary you are in a position of trust and this brings with it the following responsibilities

  • Act solely in the best interest of the participants and their beneficiaries
  • Carry out your responsibilities with the care of a prudent person
  • Deliver diversified plan investments
  • Provide benefits to each plan participant and their beneficiaries by delivering reasonable plan expenses
  • Follow the plan documents as described

Whether you need an onsite mock audit or a content review of your advertising & marketing material, Aurora is here to help you achieve and surpass your obligations.

RIA Compliance Services Offered By Aurora.

Ongoing RIA Compliance

Don’t miss a regulatory filing. We can customize a compliance strategy to meet your firm’s needs and assist you in maintaining a comprehensive compliance infrastructure. A customized program to suit your firm will support a the variables within your firms business model, practice and budget..

RIA Marketing Reviews

Many advisers overlook the importance of the distribution of original & fresh content with their marketing strategy. Growing a RIA firm takes time and precision. When volatility arrives, many an investor take to the internet and social media in search of content will help grab their interest.  

RIA Mock Audits

We can assist your firm in organizing and updating your documentation to prepare for a regulatory compliance examination. The SEC and states have become more aggressive in their examination programs. A mock compliance audit will alert you to potential compliance problems before a regulator does.

RIA Compliance Solutions That Can Help Your Firm Grow.

CCO Compliance

We conduct a comprehensive review of your existing compliance content and collateral.  We then compare and contrast it to your existing business model and regulatory requirements. This will allow us to see where changes and updates are necessary. We then create fresh new and customized compliance forms and documents.  Once completed we then update the proper regulatory agencies with the updated information and documentation.

CCO Compliance

Financial firms expend a lot of resources toward their compliance and regulatory obligations. This is to ensure a control and a transparency in a self regulatory industry. They are in place to hopefully  identify and mitigate the risks associated with the financial services industry. Aurora can assist by conducting a risk review, preparing a risk assessment matrix, and developing written policies and procedures manual that addresses such risk exposure.

CCO Compliance

An “Advertising & Marketing” review can determine if you’re in compliance with the applicable regulatory collateral requirements is extremely important.  We can help you create and revise the content on your website, provide you with disclosures and develop policies a procedures manual for maintaining your website and other forms of advertising. Maintaining new, fresh and compliance friendly content goes a long way in client retention and client development.

CCO Compliance

Not updating and maintaining something as simple as the Form U4 can result in an audit finding.  We have the knowledge and experience to assist with all the proper filings, regulatory forms, registrations and brochure updates.  We help identify possible audit findings in advance of a SEC or State audit. By tying together your marketing & compliance practices we can help you grow your firm in a professional and compliance friendly way.

New State Notice Filing

We’re Here To Help You Focus On Your Clients!

Through Focus, Innovation & Sheer Determination.