RIA COMPLIANCE GROUP

RIA Compliance Group, LLC, was established in 2010 and is based in Boca Raton, Florida. The firm provides ongoing consulting services to over one hundred clients. It has been engaged by over fifty additional clients to provide à la carte compliance and regulatory consulting services. The mission of RIA Compliance Group is to provide affordable, timely, practical, and cost-effective compliance advice. RIA Compliance Group possesses considerable expertise in servicing the compliance needs of small and large advisers. The firm's client base ranges from single person financial planners that have no assets under management to multi-state RIAs with over 50 investment adviser representatives and up to $4 billion in assets under management. Our consultants have decades of experience in the compliance and regulatory field and have conducted hundreds of onsite and remote compliance audits of advisory firms. They interact frequently with SEC and state securities regulators.