RIA startup firms are the fastest growing segment of financial services. RND Resources has a wealth of experience assisting new RIA firms.

The SEC has been proposing stricter regulation for RIA’s in recent years. Any day now, RIA firms will be subjected to increased regulatory audits and filing requirements, tasking CEO’s and firm compliance managers with new responsibility and risk factors. Our professional team has expertise in the current regulatory climate and will integrate these standards into a customized program that allows new regulatory changes to be adopted easier.  

Consulting for RIA Firms: SEC Building

  • Formation and Registration service
  • On-going compliance services
  • Compliance software solution
  • WSP manual & Contract preparation

RIA Services Brochure

Consulting Services  |  Compliance Services  |  Audit & Exam Services

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