On Going Compliance

We offer on going compliance programs customized to the Firm's type of business and registration. Discounts are available when registration and ongoing compliance services are combined.


Please call for details at 1-800-785-5860

Start Your RIA Today!
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We register investment advisers and help them run effective compliance programs.

"I had called on several companies to get information about setting up and RIA in Florida and found the companies I spoke with to be rude and inconsistent with their pricing structures.  I made one call to David Millar at Integrity Compliance and it was the call I was looking for.  David was very upfront, sincere, with a great personality and a pleasure to work with.  David's business name is exactly what he stands for INTEGRITY!  He took the time to understand me and my business plan as well as provided me the resources and education I needed to make crucial business decisions.  I'm amazed with his knowledge of the financial services business and how he plays a valuable role in your RIA business. David will take the frustration and hassles of setting up an RIA and compliance issues so that you will be confident in all you do.  I feel so blessed to have met David and recommend any advisor who wants to start an RIA or needs compliance to work with David and Integrity Compliance Consulting.  I always ask my clients "What's the best investment you ever made?"  If someone asked me this question, my reply would be "My best investment was finding David at Integrity Compliance!"

Matthew K.

State Adviser- Florida

Registration

State RIA Package - $3500.00
  • Entitlement Paperwork
  • ADV Part 1
  • ADV Part 2A
  • ADV Part 2B - for One Representative
  • Additional State Filing Documents
  • Filing in Home State
  • Investment Advisory Contract
  • Privacy Policy Statement
  • Policies & Procedures/Compliance Manual
  • Business Continuity Plan/Disaster Recovery Plan
  • Information Security Policy
  • Post Registration Compliance Training Tailored to Home State


SEC RIA Package - $4500.00
  • Entitlement Paperwork
  • ADV Part 1
  • ADV Part 2A
  • ADV Part 2B - One Representative
  • Additional State Filing Documents
  • Filing in Home State
  • Investment Advisory Contract
  • Privacy Policy Statement
  • Policies & Procedures / Compliance Manual
  • Risk Matrix
  • Business Continuity Plan / Disaster Recovery Plan
  • Information Security Policy
  • Post Registration Compliance Training to Include SECs Latest Hot Topics