"Outside the Box" RIA Compliance Program

"Big Box" corporate RIA compliance platforms with thousands of advisors are expensive and don't work very well.

We're thinking "Outside the Box" and so should you!

Compliance is a conundrum for many RIA’s. RIA’s dislike compliance work and know they need quality assistance to keep up with the ever-changing regulatory landscape, but they don’t want to pay for the high cost of traditional compliance consultants. Instead, they turn to larger, corporate entities offering lower costs, but soon find out those companies juggle thousands of RIA clients while only being able to deliver mediocre services through inexperienced junior staff members.

Don’t get “boxed” in any longer! We’ve heard the complaints about checklist services and being treated like a commodity for a long time. So, we’ve thought “outside the box” and put our decades of experience to work in creating a special compliance service – just right for most small and medium sized RIA’s that don’t love compliance – that allows our experienced principals to do most of the compliance work for you at a significantly lower price than our competitors.

Our goal is to build a close, trusting relationship with you and your staff, so that you can turn compliance over to the folks that love it – us – allowing you to focus on what you love – serving your clients.


Allow us to introduce The Clear Disclosure Partners RIA Compliance Program!

First, the price. It’s $3600 annually for both State and SEC registered advisors. That’s significantly less per year than most of our “boxy” competitor’s most rudimentary services for State registered advisors, and less than half the pricing for SEC registered advisors. There are no set up fees and no additional user fees.

We’re sure, given the low price and important compliance services delivered directly by our experienced principals, you’ll understand why we consider our program the best value in RIA compliance.

Here’s how it works:

· With your approval, we host your compliance program on our customized, cloud-based compliance software. This allows us to share and edit documents and communicate back and forth with your staff in a private and secure environment. It also creates fantastic documentation for regulators and helps demonstrate all the effort and resources your devoting to maintaining a quality compliance program.

· What's the heart of our service? We dedicate an entire week to reviewing and updating your compliance program – a friendly but comprehensive virtual audit. · We get to know you and your firm and look at all the important areas that regulators scrutinize during a regulatory audit. We also pay close attention to the items that you’ve told us need special consideration. When we’re done, we produce a detailed report for the firm’s compliance file that can also be used for the firm’s annual compliance meeting. The report highlights areas of strength in the compliance program and areas for modification or change. We also recommend appropriate language, new practices, and corrective action - and make the approved changes for you.

· As part of our full week review and using our findings, we can participate in, or even lead, your annual compliance meeting. It’s been our experience that regulators favor this approach – especially for solo and ensemble practices - as there’s another “compliance voice” in the room to provide an outside view of the firm’s compliance regime.

· Unlimited Compliance Consulting – This is what we love and what we do best. Give us a call and you’ll speak to experienced professionals - not recent college graduates. We’ll likely have the answers to all your compliance questions, but if we don’t, we know where to find out, including contacting the regulators directly.

· Review of marketing materials and regulatory filing documents. Upload your materials to our compliance software and we’ll review them – usually within 24 hours.

· Annual ADV renewal filing and unlimited ADV amendments.

· Firm and individual registration assistance.

· Aggressively discounted prices and priority scheduling for other compliance projects.


On regulatory examination, regulators expect to find RIA’s maintaining a quality, customized compliance program. However, many RIA’s are overpaying for unsatisfactory corporate services that lead to a commoditized, assembly line compliance approach that lacks personal attention to detail and experienced professional competence. That’s an RIA killer!

We’d like to speak with you about a much better, less expensive compliance service we’re sure will produce superior results for you and your firm - The Clear Disclosure Partners RIA Compliance Program. We welcome your inquiries.

Clear Disclosure Partners is managed by Dave Dickinson, a knowledgeable compliance professional with thirty years of experience in the investment advisory business. Dave’s wife Beth is one of the most accomplished RIA compliance consultants in the country and assists investment advisors through her firm, Regulatory Alliance.


                                      2019 by Clear Disclosure Partners.        .                                                                             We welcome your questions at (850) 819-1001.