This review is a targeted version of examinations conducted by securities regulators. For new clients, this provides Tirador a way to learn your business while screening for the most common deficiencies cited in examinations. Ongoing clients may elect this review on a periodic basis to confirm that key compliance elements remain in place. This review includes an examination-style interview to help you prepare for your next regulatory examination.
Annual Reviews and Updates
There are four major recurring requirements for every RIA*. Tirador works with each client personally on these reviews, and recommends the following schedule:
*Some states have not yet implemented the NASAA Model Rules for Cybersecurity and Business Continuity Planning, but these items remain key to running a good practice and fulfilling your fiduciary duty.
New RIA Registration
Launching your firm is a busy time for you. We don't send you questionnaires to fill out (effectively making you write your own documents). We will learn your business through one-on-one conversations, then we build your registration and compliance documents.
State-Registered RIA Compliance Manual
Tirador’s exclusive manual, customized to your firm and processes, is built directly on the RIA regulations that apply to your firm. Off-the-shelf manuals purchased by state-regulated firms often contain inapplicable SEC regulations and extensive procedures that just don't fit small RIA shops.
We love it when our clients succeed! We can facilitate the regulatory filings, help prepare your firm for the differences between state and SEC regulation, and continue to support your compliance program once SEC registration kicks in!
*Tirador Compliance LLC does not provide legal, tax, or financial advice.