RIA Compliance Consulting
You Can Rely On.
Reliant Compliance is a boutique, employee-owned RIA Compliance Consulting firm. We specialize in providing compliance leadership to RIAs by delivering expert advice and outsourced solutions. We believe that each RIA is unique, and we tailor our compliance programs to reflect this.
Who We Serve
We are RIA Compliance Consultants providing Customized Compliance & Common-Sense Solutions to:
SEC-registered RIAs
State-registered RIAs
Hybrid RIAs
Newly formed RIAs
Investment Advisors
Financial Planners
Wealth Managers
Financial Advisors
Why Reliant?
We offer a personalized and proactive approach to managing your RIA’s compliance needs. With over 20 years of experience, we understand that each firm is unique, so we tailor our solutions to fit your specific challenges.
Our dedicated team is always available, ensuring that you stay ahead of regulatory changes and can focus on growing your business.
RIA Compliance Consulting & Outsourced Services
Outsourced Chief Compliance Officer (OCCO)
Our OCCO team provides expert compliance support, with tailored services to meet your needs. Your dedicated Reliant professional will act as your CCO and primary contact for regulatory matters. We create and implement compliance strategies that strengthen your operations.
CCO Support Services
Let Reliant be your trusted partner in regulatory compliance. Our experienced consultants offer up-to-date advice, handle regulatory filings, draft policies, and manage burdensome tasks, empowering CCOs to achieve more.
RIA Registration Services
Reliant specializes in a wide range of registration services, including new RIA registrations (SEC, State, ERA, and Internet-Only firms), State to SEC transition filings, annual updating amendments, state registrations and notice filings, as well as Form U4 and U5 filings.
RIA Compliance Services
Reliant offers a full suite of Compliance Services for RIAs and Hybrids, including Annual Compliance 206(4)-7 Reviews, Form ADV Review & Updating, Annual Updating Amendment Filing, Compliance Manual Reviews, Regulatory Exam Support (SEC & State) and more!
