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, with any additional requests, billed hourly.
- We will assist you in making and reviewing any needed changes to your Form ADV and Client Agreements and will submit the ADV Amendment on the Finra Firm Gateway on your behalf.
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: $800+
- Our Compliance Team will file all necessary documents to apply for registration in the additional state. We will be the communication liaison between your Firm and the Regulators throughout the process, all the way through until you gain Approval. We recommend adding registration in ONE state at-a-time. Includes registration with the SEC.
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
Most requests can be accommodated! Reach out with your unique situation, and our compliance team will follow up!
Getting Started
To request a premium service (or multiple!), you can do so here in XYPN Membership Dashboard!
Billing Details
- For all services requested except for the hourly service, we will initiate the billing and reach out to you once we receive your request. For any services billed by the hour, we will follow up to confirm your estimate before beginning any work, and billing will be done after the engagement.
- Our rate for hourly services is $360, billed in 15-minute increments.
Contact
For questions and support, reach out to membership@xyplanningnetwork.com