XYPN | Compliance

We hear it every day: compliance is overwhelming for independent financial advisors. That’s why we've prioritized an expert team in-house for you to rely on. Our Compliance team is ready to assist you with your initial state or SEC registration, annual ADV updates, regulatory exam prep, and so much more. Do you just have a quick compliance question? No problem–there are multiple opportunities for Q&A each week through regular office hours and our members-only forums. Rest easy knowing your RIA compliance consultants are just a click away.

You can serve as your own Chief Compliance Officer. Take it from an RIA compliance company.

What's included in XYPN Membership?

Annual ADV Update
Smartria Compliance and Task Management Software
Weekly Office Hours with our knowledgeable in-house team
Access to Members-Only Compliance Forum
Compliance Education via Webinars and XYPN Academy
How-To Guides and Templates

“Thank you for all your help and expertise these last six months. With the help of the program, we were able to: make sure we were compliant when changing our company name, get registered in a new state, update our ADV documents and client agreements to match the work we actually do for clients, gain a much deeper understanding of our compliance manual and all the compliance tasks we need to stay on top of, and get an actionable plan in place to stay on top of compliance. I will highly recommend this RIA compliance service to other XYPN members.”

Ben Wacek, CFP®, CKA®

Guide Financial Planning, LLC

RIA Registraton

You lead the way, while we support you at critical points in your firm registration process.

Enhanced RIA Registration

Our compliance experts lead the way, providing key document development and continuous support throughout your firm registration process.

Complete First Year Compliance

We’ll provide you with comprehensive RIA registration service, foundational compliance program development, and ongoing implementation support during your first year of launch.

RIA Registration

$1,900

Monthly payment option: $175/mo for 12 months

Enhanced RIA Registration

$2,700

Monthly payment option: $250/mo for 12 months

Complete First Year Compliance

$6,000

Monthly payment option: $550/mo for 12 months

Form ADV & U4 drafting and submission

Client Agreements, Privacy Policy, and Compliance Manual creation

Weekly Compliance Drop-In (group calls)

ADV amendment filing within 30 Days of firm approval

DIY guide provided

Business Continuity Manual, Security Manual, and Code of Ethics creation

Templates provided

Creation of additional required state documents for firm registration

Templates provided

Smartria setup and training

Development and implementation of compliance program

Support with build out of compliance processes and best practices

Audit prep support and guidance

First additional state registration or notice filing

First additional IAR registration

1:1 consulting and support

Up to 2 hours

A La Carte Compliance Support

Pricing based on support needed.

Form ADV amendment & filing support
$500 per ADV Update Engagement
Additional state registration support
$800+ per state, additional hours billed at $360/hour
Notice filing support
$180 per notice filing with the appropriate States
IAR registration filings & support
$360 per IAR Registration, $180 per Form U4 Amendment
$180 per Form U5 Filing
Transition to SEC registration from state-registered
$800+ includes all necessary revisions and submission of application

Hourly Compliance Consulting

$360/hour

Regulatory Examination/Audit Support
State and SEC Mock Audits
Mock regulatory examination to assess readiness
Advertising & Marketing Reviews
Review of marketing material to identify modifications
Adhoc Compliance Questions & Projects
1:1 Consulting over specific compliance matters

Ongoing Compliance Consulting

Consulting packages ranging from $475/month up to $2,000/month

Proactive consulting tailored to your firm with compliance program management support

Development or refinement of written policy and procedures
Streamline or build out compliance processes with best practices
Setup and training on compliance task management
Support of additional registration and notice filing
Audit prep support and guidance
Access to expert compliance consulting
Unlimited email support

Compliance with Confidence

Registering your RIA, updating your annual ADV, or ongoing compliance solutions. Your team of experts is with you every step of the way.

RIA compliance solutions:
just a click away

XYPN Members on Compliance