Premium Compliance Services
Whether you're expanding your firm, need to revise your compliance and disclosure documents, or just need some expert advice, the XYPN 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!
Document Drafting/Review
Need a second set of eyes or support from the Compliance Team on changes to your firm's documents? Our team will step in to support updates to Form ADV (Parts 1, 2A, 2B, CRS, and Wrap Brochures), updates to applicable advisory client agreements, and creation of new ones with the addition of new services (additional fees may apply).
Registrations and Filings
- Notice Filing in an Additional State
- Additional State Registration
- State to SEC Transition
- Form U4/U5 Filing
- Register an Additional IAR
Audit Support
Hourly services have a one-hour minimum per request, with additional time billed in 15-minute increments. Hours are accrued throughout the engagement and billed following its completion.
Hourly Consulting Support
Includes, but is not limited to: Assistance with compliance questions around business practices, disclosure obligations, rules & regulations, Smart RIA one-on-one training and organizational sessions, review of your website/ebook/online course, and Mock Audit corrections.
Hourly services have a one-hour minimum per request, with additional time billed in 15-minute increments. Hours are accrued throughout the engagement and billed following its completion.
Compliance Program Review
Continuity Planning Support
Most requests can be accommodated. Share your unique situation with us, and the XYPN Compliance Team will follow up! If you'd like to request a premium service, you can do so directly through your Member Portal.
Hourly services have a one-hour minimum per request, with additional time billed in 15-minute increments. Hours are accrued throughout the engagement and billed following its completion.