Premium Compliance Services
Whether you're expanding your firm, need to revise your compliance and disclosure documents, or just need some expert advice, our Compliance Team is available to help you knock out those items so that you can get back to working with your clients and running your firm!
Services Offered:
Document Drafting/Review
Premium ADV Update: $500 - $1,000
- We will assist you in making and reviewing any needed changes to your Form ADV and Client Agreements.
Review of Marketing/Advertising Material: Hourly
- Includes online courses.
Registrations and Filings
Notice Filing in Additional State: $180
- For SEC-registered firms or Texas Notice Filing.
Additional State Registration: $900+
- Up to 3 hours of compliance support included. Additional hours billed at $360/hr (in 15-minute increments). Our compliance team will 1) perform a preliminary review of your ADV and Agreements, 2) prepare and submit a complete application for the firm and current IARs to register in the selected state, and 3) facilitate correspondence between your firm and regulators throughout their review process until your registration is complete.
State to SEC Transition: $1800
- Expert support with moving your firm from State to SEC registration. Our compliance team will handle the submission of your SEC registration application from ensuring the required updates to your ADV are made, preparing your firm’s Form CRS, filing ADV-W to withdraw from state registration upon approval of your registration with the SEC, and provide suggested policy and disclaimer updates as needed. Additional consulting is available on an hourly basis or through our ongoing compliance program to support your firm post-transition.
Form U4/U5 Filing: $180
- Service for currently registered IARs
Register an Additional IAR: $360
Audit Support
- State/SEC Regulatory Audit Support: Hourly
Consulting
Consulting Engagement with Compliance Expert: Hourly Options (not limited to):
- Assistance with compliance questions around business practices, disclosure obligations, rules & regulations, etc...
- Smart RIA one-on-one training and organizational sessions
- Review your website/ebook/online course
- Mock Audit
Continuity Planning
Wind Down Assurance: $1,200 setup + $250/year
XYPN’s Wind Down Assurance Program is designed to give you and your clients peace of mind by ensuring that your firm can be responsibly closed if the unexpected happens.
- The program includes:
- Business Continuity Plan Creation and Review: Our team will help you develop and review a comprehensive continuity plan tailored to your firm.
- Ongoing Maintenance and Updates: We’ll periodically update critical elements of your plan, such as maintaining current contact information for key vendors and responsible parties.
- Wind Down Assurance Support: If you experience death or incapacity as a sole owner and no formal succession plan is in place, XYPN will step in to facilitate client notifications, coordinate with vendors, and handle the withdrawal of your firm’s registration.
Most requests can be accommodated! Reach out with your unique situation, and our compliance team will follow up!
All hourly services are billed at $90 per 15 minutes, with a one-hour minimum per request. Hours are accrued and billed at the end of each month.
Getting Started
To request a premium service, you can do so in your XYPN Membership Dashboard!