About Us

We are a small group of compliance and technology professionals.


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Our Network


150+ advisor
firm clients

20+ States
represented

2 countries
domiciled

100+ RIA Review
Users

$3.69+ billion in total AUM
represented by our Advisor clients

Since 2011, we’ve worked with more than 140 investment advisory firms in the US and London.

RIA Family Portfolio


Affiliates/Partner(s)

Mission

“Serving the investment community to make a social impact”

FinTech Map(s)

U.S. Investment Manager (RIA)



Structure:

Filing Types:

Where:

Regulation:

Corporate Level
Corporate Documents
(C-Corp, LLC)
Articles of Incorporations, Stock Certificates
Secretary of State
State (securities act)
Firm Level

Registered investment advisor (RIA)

Form ADV

FINRA Web CRD/IARD

SEC (advisors act);

State (securities act)

Rep Level

Investment Advisor Representative (IAR)

Form U-4

FINRA Web CRD/IARD

State (Securities act)

SEC (investment advisors act)

Securities Level

Initial Public Offering

Private Placements
Form S-1 (S-K, S-X)

Reg D (504, 505, 506)
State securities commission (notice filing);

SEC (Edgar)
State (Securities act)

SEC (investment advisors act)

SEC (securities exchanges act)
Fund Level

Registered Fund (i.e. open/closed end funds

Private Fund (registration or exemption)
Edgar: 13D, 13G, 13F

Form PF

3c-1, 3c-7
SEC Edgar

State securities commission (notice filing);
SEC (investment company act)

SEC (securities exchange act)


U.S. Broker-Dealer (B/D)



Structure:

Filing Types:

Where:

Regulation:

Corporate Level
Corporate Documents
Articles of Incorporations, Stock Certificates
Secretary of State
State (securities act)
Firm Level

FINRA (or other SRO) member broker-dealer

Form B-D

FINRA Membership
FINRA Web CRD/IARD

FINRA (NASD)

SIPC (SRO)

SEC (advisors act);

SEC (securities exchanges act)

State (securities act)
Rep Level

Registered Representative (RA)

Form U-4

FINRA Web CRD/IARD

State (Securities act)

SEC (investment advisors act)

Securities Level

Initial Public Offering

Private Placements
Form S-1 (S-K, S-X)

Reg D (504, 505, 506)
State securities commission (notice filing);

SEC (Edgar)
State (Securities act)

SEC (investment advisors act)

SEC (securities exchanges act)
Fund Level

Registered Fund (i.e. open/closed end funds

Private Fund (registration or exemption)
Edgar: 13D, 13G, 13F

Form PF

3c-1, 3c-7
SEC Edgar

State securities commission (notice filing);
SEC (investment company act)

SEC (securities exchange act)


U.S. Financial Market Regulations

Securities

Securities Exchange

Bonds

Funds

Investment Management

Securities Act of 1933
Securities Exchange Act of 1934
Trust Indenture Act of 1939
Investment Company Act of 1940
Investment Advisers Act of 1940
Corporate

Financial Markets

Financial Markets

Banking

Retirement

Sarbanes-Oxley Act of 2002

Public Companies
Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
Jumpstart Our Business Startups Act of 2012
Bank Secrecy Act
Employee Retirement Income Security Act


U.S. Retail Wealth Management Map

Banking

Brokerage

Insurance

Investment Managers

Investment Managers Retirement Plan Fiduciaries

Investment Banking

Private Banks

Commercial
Broker-Dealers

Prime Brokers

Wire Houses

Capital Markets

Private Funds/Hedge Funds

Venture Capital
General Insurance

Annuities
Registered investment advisors

Mutual Funds

Business Development Companies

Hedge/Private Fund Funds
Pensions

403(b)

401(K)