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Compliance That Grows With You

 
XYPN COMPLIANCE

Expert guidance for every stage of your RIA

From registering your RIA to annual ADV updates and ongoing compliance consulting, XYPN Compliance supports every stage of your firm's journey. Backed by years of experience supporting independent fee-only firms, our team provides trusted, practical guidance that evolves alongside your business.

TRUSTED COMPLIANCE GUIDANCE

Compliance Support For Every Stage

  • Confidently register your RIA with guidance from experienced compliance professionals. We'll help you navigate registration, build a strong compliance foundation, and prepare for success from day one.

  • As your firm grows, your compliance program should grow with it. From ongoing consulting and annual filings to audit preparation and regulatory guidance, our scalable compliance solutions help you stay ahead with confidence.

  • Join Sapphire and let our compliance team oversee your firm's regulatory program, so you can spend more time serving clients and growing your practice.

    Explore Sapphire ↗
XYPN Member Exclusive

Find the Right Compliance Solution

Whether you're launching your RIA, strengthening your compliance program, or looking for project-based support, our team offers solutions designed to meet you where you are.

 

RIA Registration

Build a strong compliance foundation from day one. Get expert guidance through registration, required documents, and correspondence with regulators so you can launch with confidence.

Compare Launch Solutions ↘ 

Compliance Consulting

Whether you're looking for a ongoing partnership with structured support or full delegation with comprehensive oversight, navigate your next challenge with a team of experts behind you.

Explore ongoing compliance ↘ 

Additional Support

Access RIA compliance consulting for document reviews, advertising guidance, state registrations, mock audits, and expert support whenever you need it.

What's included in XYPN membership? ↘ 
  • Annual ADV update
  • SmartRIA compliance and task management
  • Weekly office hours with compliance experts
  • Members-only compliance forum
  • Compliance webinars and XYPN Academy

Regulatory Advocacy

Through regular engagement with regulators and policymakers, we advocate for practical, modern regulation that supports the fiduciary standard.

Learn more ↘ 

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They provided the confidence and assurance I needed, coached me through my firm's pricing structure and direction, and offered valuable guidance. I felt they cared about the well-being of me and my firm at every step!"

 

JonathanPixley


Jonathan Pixley, CFP®
Realm Financial Planning | 

XYPN Member since 2024

Launch with RIA Compliance Solutions

Start Your RIA

For XYPN members only, everything you need to register your RIA and build a compliance program that supports your firm from day one.

 

Monthly Save up to 16% Upfront
RIA Registration
Launch your RIA with expert guidance through registration, required filings, and regulator correspondence until your firm is approved.
$350
$3,500
/mo

With 12-Month Agreement

One-Time Payment

Register my RIA ↗
Register my RIA ↗
Registration Essentials:
Registration Support
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Form ADV & U4
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Compliance Documents
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Standard Compliance Foundations
Go beyond registration with structured compliance training, ongoing guidance, and the tools to confidently manage your first year.
$564
$6,150
/mo

With 12-Month Agreement

One-Time Payment

Build my foundation ↗
Build my foundation ↗
Everything in Registration, plus:
Guided CCO Training
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Smartria Setup
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Ongoing Support
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Enhanced Compliance Foundations
Multi-State Registration
Receive expanded compliance support, additional consulting, and greater flexibility as your firm grows beyond the basics.
$933
$10,250
/mo

With 12-Month Agreement

One-Time Payment

Get enhanced support ↗
Get enhanced support ↗
Everything in Standard, plus:
Ad-Hoc Consulting
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Additional Registrations
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Advanced Compliance Support
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Compare all features

Everything you need to register your RIA and establish a strong, day-one compliance program for your firm.

RIA Registration

Standard Compliance Foundations

Enhanced Compliance Foundations

RIA Registration
Registration essentials for every firm
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State Registration document preparation tooltip
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Compliance Foundations Additional Support
Structured training, guidance, and tools to manage your compliance program
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Compliance Program Support tooltip
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Additional Consulting Support
Expanded support for multi-state registration, additional consulting, and greater flexibility for complex compliance situations.
A complexity fee, billed monthly, may apply for ongoing support.
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Free Guide

Launch your RIA with confidence

Whether you're just getting started or preparing to file your registration, this guide walks you through the key compliance considerations to launch your RIA.

Get the guide ↗
Read more
benWacek


Ben Wacek, CFP®, CKA®
Guide Financial Planning | 

XYPN Member since 2014

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With the help of Compliance, we confidently navigated a company name change, registered in a new state, updated our ADV and client agreements, gained a much deeper understanding of our compliance program, and built an actionable plan to stay on top of compliance. I would highly recommend this service.”

 

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Every state's RIA registration requirements are different.

View your state requirements ↗
RIA Compliance Solutions That Scale

Scaling Your Compliance

Choose the level of compliance support that's right for your firm, from ongoing guidance to fully integrated compliance management, exclusively for XYPN members.

Dedicated Compliance Advisor
TIER 1
Receive proactive compliance guidance, ongoing consulting, and direct access to an experienced consultant as your firm continues to grow.
$575
/mo
Get ongoing support ↗
Ongoing Compliance Essentials
Quarterly Check-Ins
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Direct Compliance Support
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3 additional state registrations and 3 IARs per year
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Audit Preparation
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Compliance Program Manager
TIER 2
Hand off recurring compliance responsibilities while receiving customized oversight to help your compliance program scale with your business.
$1,200
/mo

+ $1,000 setup

Hand off more ↗
Everything in Dedicated, plus:
Annual Compliance Review
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Recurring Supervision
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Quarterly Reporting
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Integrated Compliance Partner
TIER 3
Gain comprehensive compliance oversight with dedicated support for audits, risk management, employee supervision, and firm-wide compliance operations.
$2,000
/mo

+ $1,000 setup

Partner with XYPN ↗
Everything in Program Manager, plus:
Compliance Management
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Audit Support
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Team Compliance training
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Additional Compliance Support

Customizable support starting at $360/hr

Project-based compliance support tailored to your firm's needs, from document updates to audit preparation and regulatory guidance.

Get expert support ↗

Ready to hand off compliance?

Explore Sapphire ↗

benWacek


Josiah Martin, CFP®CFP®, CKA®
FirstFruits Wealth Management | 

XYPN Member since 2026

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Professional, responsive, and attentive throughout my registration process. I always felt like they were on top of things, kept the process moving forward with regulators, and were quick to answer questions. I'm glad I chose XYPN and would recommend their compliance services to others."
ADVOCATING FOR ADVISORS

Shaping the future of independent advice

Compliance isn't just about navigating today's regulations. It's also about helping shape tomorrow. XYPN works directly with state regulators, the SEC, NASAA, and industry organizations to advocate for practical, modern regulation that supports independent fee-only advisors, protects investors, and reduces unnecessary complexity so you can focus on serving your clients.

Explore Our Industry Impact ↗
Additional Resources ↘

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.

The Essential RIA Compliance Guide
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Guide

The Essential RIA Compliance Guide

Beyond Your Personal Network: How to Build a Referral System That Grows With Your Firm
Beyond Your Personal Network: How to Build a Referral System That Grows With Your Firm
Article

Beyond Your Personal Network: How to Build a Referral System That Grows With Your Firm

Aug 3, 2026

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