The Risk Ready Kit: Your Solution for Compliance, Continuity, and Risk Management
Running an RIA means juggling many responsibilities. Between serving clients, managing operations, and growing your business, it’s easy for compliance, audits, and continuity planning to fall to the bottom of the priority list until they can’t be ignored anymore.
The Risk Ready Kit was built to change that. By bundling XYPN’s most-requested risk-management services into a single streamlined package, the kit gives you clarity, structure, and professional support, all while saving you time and money. It’s designed to provide peace of mind so you can stay focused on what matters most: your clients and your firm.
What’s Included in the Risk Ready Kit
Wind Down Assurance
A tailored, annually updated business continuity plan designed to prepare your firm for worst-case scenarios. This keeps your plan current year after year, ensuring that your business and your clients are protected.
Risk Management Intensive (kit exclusive)
As part of the kit, you’ll participate in a 90-minute group workshop where you’ll:
- Meet directly with the XYPN Compliance team and Executive Business Coach, Arlene Moss
- Gain practical tools, templates, and strategies to strengthen your continuity and risk-management processes
This kit-exclusive session ensures you walk away with not just information, but actionable steps you can implement immediately.
Compliance Program Review
A thorough, hands-on review of your compliance program designed to help you stay audit-ready, without the cost or commitment of a full mock audit. You’ll receive guidance from compliance experts to address gaps and strengthen your overall structure.
Archive+
An expanded digital archiving solution that covers 26 sources, including 24 data sources and two websites, enhancing your ability to meet regulatory requirements while keeping your records organized and accessible.
E&O Insurance (optional)
Members get access to an Errors and Omissions insurance policy customized for advisors, with optional add-ons like:
- Divorce Financial Consulting
- Tax Prep Services
- Directors & Officers / Management Liability
It’s comprehensive protection tailored to the real risks firms face.
Stay Protected, Prepared, and Confident
The Risk Ready Kit brings together everything you need to maintain a strong compliance foundation, plan for the unexpected, and protect your business without having to manage a dozen separate services or vendors.
You can find full details and pricing in your Member Portal, along with everything included in the kit. If you’re ready to streamline your compliance and risk-management efforts, you can enroll directly through your Member Portal, too.