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XYPN Compliance

Compliance with Confidence

Your team of experts is with you every step of the way to simplify RIA compliance management.

In-House Compliance Experts

Customized compliance support just a click away

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 compliance team is just a click away.

You can serve as your own Chief Compliance Officer. We’ll show you how.

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

XYPN Members on Compliance

“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 service to other XYPN members.”
benWacek
Ben Wacek, CFP®, CKA®
Guide Financial Planning, LLC

Compliance for New Firms

Get comprehensive compliance support to successfully launch your RIA

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.

 

Compliance Package Features

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
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Client Agreements, Privacy Policy, and Compliance Manual creation
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Weekly Compliance Drop-In (group calls)
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ADV amendment filing within 30 Days of firm approval
DIY guide provided
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Business Continuity Manual, Security Manual, and Code of Ethics creation
Templates provided
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Creation of additional required state documents for firm registration
Templates provided
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Smartria setup and training
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Development and implementation of compliance program
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Support with build out of compliance processes and best practices
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Audit prep support and guidance
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First additional state registration or notice filing comptab-infoalt7-icon
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First additional IAR registration comptab-infoalt7-icon
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1:1 consulting and support comptab-infoalt7-icon
Up to 2 hours
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Compliance for Established Firms

Get comprehensive compliance support for your existing RIA

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

Looking to Learn More About Compliance?

WE’VE GOT A GUIDE FOR THAT

We know firsthand what a bear compliance can be on your own. That's why we've created resources to help financial advisors learn to navigate compliance with confidence.

Learn more →
The Essential Guide to RIA Registration
The Essential Guide to RIA Registration

The Essential Guide to RIA Registration

Compliance Manual for Starting an Independent RIA
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Compliance Manual for Starting an Independent RIA