Initial State & SEC Registration Service
Are you starting from ground zero and new to the industry or breaking away from your existing RIA or Broker Dealer? Our Initial Registration Service has been built and refined over hundreds of registrations in nearly every state as well as the SEC in order to help you get your firm registered in a timely manner while helping you establish confidence out of the gate as a new firm owner and Chief Compliance Officer. We will draft your Firm Brochure (ADV Part 2A) and all necessary supplements and appendix brochures and tailor client agreements for your services that align with your ADV Part 2A. We will then help you file all the necessary documentation to initiate the registration process in your jurisdiction and work with you and the state regulators through the review of your firm’s application all the way to your firm’s approval so that you can move forward with launching your firm!
Compliance Coaching Services
XYPN Compliance Coaching Services are designed to create a one-on-one relationship with a compliance expert that will work with your firm to improve operational efficiency and increase accountability for the ongoing needs of your compliance program. The program is designed to facilitate a seamless and dependable relationship with both chief compliance officers, and those which the CCO may choose to delegate to complete ongoing compliance tasks. Through our process, the firm will be exposed to a unique educational experience built to encourage self-sufficiency and increase competency for your RIA compliance professionals.
|Bronze ($250/month)||Silver ($350/month)||Gold ($550/month)|
|1-hour Phone Consultation with your dedicated compliance consultant||Quarterly||Monthly||Monthly|
|Complimentary Premium ADV Update (Annual Amendment)||✔||✔||✔|
|Annual Compliance Document Review||✔||✔||✔|
|Additional State Registrations||1 Annually (no rollover)*||2 Annually (no rollover)*||Unlimited Registrations or Notice Filings|
|Adding Additional IARs||1 Annually (no rollover)**||2 Annually (no rollover)**||Unlimited|
|Direct Email Access||✔||✔||✔|
|On-Demand Audit Support||✔||✔|
|Virtual Mock Internal Exam (optional)||✔|
|Regulator Contact and Research (as needed)||✔|
|SEC Filing Assistance (file prep, Edgar filings)||✔|
|State Registration and Renewal Support||✔|
|On-Demand Phone Support (maximum 2 hours per month)||✔|
*Additional State Registration requests billed at $300 per state.
**Additional IAR requests billed at $150 per IAR.
Interested in other coaching opportunities? Check out Executive Coaching & Marketing Support.
Premium A La Carte Services
Our a la carte premium compliance services are designed for those who want to pay for compliance services only when they need it. We have compliance experts available to assist you with your compliance needs whenever those needs or issues arise. From expedited initial registration filing assistance to registering in new states and hiring new IARs as your firm grows and evolves, these compliance services are available to help you confidently and efficiently keep your documents, filings, and compliance program up to date so that you can focus on working with your clients and growing your firm.
|Premium A La Carte Service||Price|
|Expedited Initial Registration Filing Assistance||$1,000|
|Premium ADV Update Service||$300|
|Additional State Registration Assistance||$800|
|Additional IAR Registration Assistance||$300|
|Hourly Compliance Consultation||$300/HR|
|Virtual Mock Examination||$3,500|
|Initial Registration & Paid Services||Price*|
|Initial Registration: 1 State Registration and 1 IAR||$1,500 upfront OR $150/month for 12 months|
|Initial Registration Expedited Filing||$2,500|
|Registration in Additional States||$800|
|Registering and Filing Additional IARs||$300|
|Hourly Consultations with Direct Access to Compliance Consultant**||$300/hour|
*State/SEC fees, and exam fees are not included in the prices above and will go directly to the agencies. Click here for current pricing.
**Hourly Consultation Services are available for one-on-one support from a compliance expert to work through and answer your compliance-related questions. We are also available for additional hourly projects such as: advertising and marketing review, compliance document review, guidance on establishing and maintaining your compliance program and tasks, assisting with preparing for regulatory examinations, and resolving regulatory deficiency letters.