Compliance

Overview

  • Basic assistance/guidance with RIA formation
  • ADV review
  • Broker/dealer compliance coordination (as applicable)
  • Basic ongoing RIA compliance support
  • Most all RIA compliance-related activities
  • Assistance with documents associated with audits
  • Option of retaining comprehensive compliance support through offsite legal counsel (additional fee)

Advisor Comments

“I did not have any experience whatsoever with working under the RIA business model. I was very much interested, though, and my idea was that I would have to start working under my IBD’s RIA. Then I discovered options available to help me to put together the pieces.”

 

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FocusPoint in the News

May 2006, David Drucker, Financial Advisor magazine:

Virtual Made Easy: Brent Hicks has created a business model that others want to adopt.