Company Information

Get to know RIA Compliance Firm, LLC

RIA Compliance Firm, LLC is a specialized consulting firm that offers comprehensive regulatory compliance solutions to Registered Investment Advisers. The company focuses on making compliance manageable and affordable for RIAs by providing services such as new adviser registration with the SEC or state authorities, developing customized compliance programs, conducting mock regulatory exams, and offering ongoing compliance support. Their mission is to assist financial advisors in navigating the complex regulatory landscape, allowing them to focus on serving their clients while maintaining adherence to industry rules and regulations.

Industry

Financial Legal ServicePRIMARY
Financial Other Service

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RIA Compliance Firm, LLC

United States

Founded in

2019 (7 Years)

Founded

Last online: No recent activity

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OVERALL SCORE

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Markets.com

(326 reviews)

United States

2008

(18 years)

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This company is currently Unproved.

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License

A Grade License

Issued by globally renowned regulators, these licenses ensure the highest trader protection through strict compliance, fund segregation, insurance, and regular audits. Dispute resolution and adherence to AML/CTF standards further enhance security.

B Grade License

Granted by respected regional regulators, these licenses offer robust safety measures such as fund segregation, financial reporting, and compensation schemes. Though slightly less strict than Tier 1, they provide dependable regional protection.

C Grade License

Issued by regulators in emerging markets, these licenses offer basic protections such as minimum capital requirements and AML policies. Oversight is less stringent, so traders should exercise caution and verify safety measures.

D Grade License

From jurisdictions with minimal oversight, these licenses often lack key protections like fund segregation and insurance. While attractive for operational flexibility, they pose higher risks to traders.

TrustFinance is not a licensed financial advisor and is not affiliated with any financial institutions in your region. We encourage you to do your own research before making any investment decisions.