RIA Compliance Specialists is a boutique compliance consulting firm comprised of a consortium of independent compliance consultants specializing in working with Registered Investment Advisory firms.

Our firm has four main areas of consulting expertise we provide to clients:

  • RIA registration and startups
  • Ongoing compliance consulting including outsourced CCO
  • Audit, risk and regulatory assistance List Element
  • Leveraging technology to automate your compliance program 

Our consultants come from diverse backgrounds, including Chief Compliance Officers from RIAs and Broker-Dealers, C-level executive positions at RIAs and Broker-Dealers, Hedge Fund and Family Office specialists, and compliance experts in the Crypto Currency industry to name a few.

If you are tired of working with large, private equity owned consulting firms, we would like to help connect you to one of our independent consultants to help you review, develop and maintain your compliance program.