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XYPN Compliance

Compliance with Confidence

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

RIA Registration Guide →
In-House Compliance Experts

RIA compliance solutions:
just a click away

We hear it every day: compliance feels 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 state or SEC RIA 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 expert Compliance team 

  • Access to members-only compliance forum

  • Compliance education via webinars and XYPN academy

  • How-to guides and templates
Get Help With Your Compliance →

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

Compliance for New Firms

Get comprehensive compliance solutions to successfully launch your RIA

RIA Registration

$3,000

When you choose RIA Registration, our compliance experts will lead the way, solving registration complexities for you and supporting you at critical points in your firm registration process.

Start Today →

To utilize XYPN for RIA Registration Services, you will need to sign a Member Agreement agreeing to be a member for 12 months.

Monthly Payment Option available
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    Registration Support
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    Form ADV & U4 Drafting and Submission
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    Client Agreements & Privacy Policy Drafting
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    Weekly Compliance Drop-In Group Calls
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    Core Policies and Procedure Development
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    Compliance Manual
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    Creation of Additional Required State Documents for Firm Registration
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    Business Continuity Manual, Security Manual, and Code of Ethics Creation
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    ADV Amendment Filing Within 30 Days of Firm Approval
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    Support with Regulator Correspondence During Registration

Check your state’s RIA registration requirements

Get your checklist ↗
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Compliance Foundations

Stressed about being your firm’s CCO? With Compliance Foundations, our expert consultants will help you register your firm, lay the foundation for your compliance program, and boost your confidence in your first year.

Not sure which package is right for you? Choose Standard Compliance Foundations if you're looking for structured training and support over your first year to ensure your year one compliance program is efficient and effective. Choose Enhanced Compliance Foundations if you’re looking for greater flexibility in ad-hoc compliance support like additional State or SEC registrations, adding or removing IARs, and discussing general compliance questions, in addition to developing your firm’s compliance program. 

Standard Compliance Foundations

$6,000
Monthly payment option: $550/mo for 12 months

Enhanced Compliance Foundations

$10,000
Monthly payment option: $910/mo for 12 months
RIA Registration
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Guided CCO Compliance Training
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Ad Hoc Email Support After Registration
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Smartria Setup and Training
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Compliance Program Development
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Form ADV & Client Agreement Updates
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Audit Prep Support and Guidance when applicable
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Additional / Ad-hoc Consulting Calls as needed
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Additional State and IAR Registrations
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Additional Consulting Support with Navigating:

Maintaining Custody over Client Assets
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Advisors to Private Funds
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Receipt of Performance Based Fees
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Investment Performance Advertising
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**A complexity fee, billed monthly, may apply for ongoing support

Compliance for Established Firms

Comprehensive compliance solutions for your existing RIA

Tier 1
$575
/month
Quarterly compliance review meetings & ad-hoc consulting*
Smartria setup and training
Initial compliance program review and consulting
Development and revision of core documents**
Form ADV and Form U4 amendments filing**
Audit prep support**
Ad hoc email support
Support with three state and three IAR registrations per year
Get started →
Tier 2
$1,200
/month
Everything in Tier 1 Plus:
Periodic consulting calls with Compliance team to report findings or updates
Periodic compliance program review and consulting
Support with all additional state registrations or notice filings**
Annual compliance meeting**
Advertising review and approval, email supervision, and advisory contract execution review
Advisory fee review and testing
Get started →
Tier 3
$2,000
/month
Everything in Tier 2 Plus:
Employee trade monitoring and reviews***
Periodic client suitability reviews
Optional on-site visit (every 12-24 months)
Audit prep and support during regulatory audit (virtual or on-site)
Recurring compliance reviews and policy testing
Data security review and testing with all access persons
New employee compliance onboarding and training
Section 13F & 13H EDGAR filings**
Plan annual compliance meeting
Get started →

* Up to 12 hours of support per year as needed
** As needed/applicable
*** Subject to additional tech costs
† Additional compliance support billed at $360/hour in quarter hour increments. The Compliance team will notify the Adviser, before the start of a requested project, anytime the requested project, task, or assignment requires separate billing

Periodic Compliance Service Engagements

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À La Carte Compliance Support

Pricing based on support needed

Pricing by Service

  • Form ADV amendment & filing: $500 per ADV Update Engagement (Covers first 2 hours of compliance support)
  • Additional state registration: $900+ per state, additional hours billed at $360/hour
  • Notice filing: $180 per notice filing with the appropriate States
  • IAR registration filing & support: $360 per IAR Registration, $180 per Form U4 Amendment or Form U5 Filing
  • State to SEC Registration Transition: $1,800 flat fee
    Includes application prep and submission, ADV-W filing to withdraw from the state(s), updated set of tailored Policies & Procedures, review of the firm’s website, drafting of updated disclaimers, and a detailed resource guide for SEC-Registered firms.

Ongoing Consulting

$575–$2,000/month

Proactive consulting tailored to your firm

  • 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 registrations and notice filings
  • Audit prep support and guidance
  • Dedicated email support

Hourly Consulting

$360 / hour

Expert compliance support on an as needed basis

  • Advertising & marketing reviews
  • Compliance document reviews
  • State or SEC audit support
  • 1:1 consulting to address specific compliance questions
Let's get started →

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 RIA Compliance Guide
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Compliance

The Essential RIA Compliance Guide

The Essential Guide to RIA Registration
The Essential Guide to RIA Registration
Compliance

The Essential Guide to RIA Registration

Ready to get started?

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