Aurora Compliance Solutions

We believe every RIA firm needs a customized compliance strategy. This is not just a belief, this is a fact. A customized compliance strategy is efficient and saves your firm time and money.  A customized compliance strategy should be easy to follow and simplify compliance overall.We help our clients focus on growing their business in a compliant friendly way.

Compliance solutions that are comprehensive, effective, and competitively priced.

The Best Service. The Best Price. Period!!!

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RIA Compliance

CCO Outsourcing

RIA Mock Audits

We Offer Registration & Compliance Solutions To RIA Firms

New RIA Firm Registration

Aurora offers “Full Service” new RIA registration services to new RIA firms at very competitive pricing.  Our goal is 100% client satisfaction. This offering is meant to deliver a “Premium New RIA Registration” offering that is customized to your firm.  Aurora does not use cookie cutter templates. All of our work is customized to your firm and includes the following:

  • IARD/FINRA  Filing;
  • Initial Filing of Form ADV Part 1A & 1B
  • Customized ADV Part 2A & 2B Brochures;
  • Code of Ethics;
  • Cyber Security Policy;
  • Policies and Procedures/Compliance Manual;
  • Privacy Policy;
  • Initial Advertising & Marketing Review;
  • CCO Compliance training;
RIA Compliance

Our RIA Compliance Consulting Service is customized to your firm and is geared to the RIA firm that has under $500 million in AUM, has an established niche and is happy with their current situation. This service is customized to each firm and will typically include the following services:

  • Annual IARD/FINRA Filing;
  • Annual Filing of Form ADV Part 1A & 1B
  • Unlimited Consulting;
  • Advertising & Marketing Reviews;
  • Code of Ethics Review/Replace;
  • Cyber Security Policy Review/Replace;
  • Policies and Procedures/Compliance Manual Review Replace;
  • Privacy Policy Review/Replace;
  • CCO Compliance training;
  • Quarterly Trade Execution Reviews;

This service is very attractive to the firm that understands the importance of being compliant, wants to stay on top of compliance but would rather spend their time growing the firm.

RIA Growth Mode

The “Supervision & CCO Outsourcing Service” is geared to new firms that lack the supervisory requirements as well as for firms looking outsource compliance to a 3rd party.  This package allows us to assist you by incorporating a compliance strategy and a marketing strategy in tandem with each other. It includes all the responsibilities of a CCO. This service is aimed at keeping your firm compliant while driving new client and prospects to your firm.

Most small advisory firms use cookie cutter methods to drive inbound sales.  They also use the same or similar content to other firms and tend to be sporadic  in their advertising and marketing strategies. The goal of outsourcing the CCO role is to help keep your firm on top of compliance while allowing you the time and energy to actively pursue new business.



RIA Ret plan benefits

Aurora now offers basic annual filing services as part of our Ad Hoc offering.  In the same Aurora fashion as you have come to expect. Everything is customized to your firm. Here is a list of our customized offerings that are available via an ad hoc request:

  • Annual Year End Filing;
  • Year End Compliance Audit;
  • Form ADV Part 1A & 1B, 2A & 2B;
  • Amendments IARD system filing;
  • RIA Firm brochure creation and customization;
  • Wrap fee brochure;
  • Solicitor agreements;
  • Annual ADV filing and amendments;
  • RIA Compliance Checklists;
  • Code of Ethics;
  • Cyber Security Policy;
  • Policies and procedures manual;
  • Privacy Policy;
  • Advertising & Marketing Reviews;
  • Compliance training;
  • Annual review and assessment of your existing compliance strategy;
  • Business Continuity Plan;
  • Mock compliance audits;
  • Website and Social Media content reviews;

Whether you need annual filing assistance or are looking for someone to step in while transitioning to a new CCO, Aurora has you covered.  All of our pricing is competitive and customized based on the size and scope of each request.

New State Notice Filing

We’re Here To Help You Grow Your Business!