Initially, we can assist you with reviewing the paperwork required to file and approve in order to open your doors and do business as an RIA.

Once that piece is complete, the compliance support we offer and can provide includes working closely with you as you need our assistance or thoughts.

This support can include, for example, any and all of the following compliance—related topics:

E&O recommendations (basic overview and general coverage questions)
RIA document review (ADV, client agreement, etc.)
Regulatory audit support
If applicable, coordination with your broker/dealer (re: understanding FPS and setting up compliance oversight)
Assistance with drafting client correspondence (situation specific)

Remember, what makes us unique is that we support you, the advisor.

Unlike a broker/dealer, FocusPoint does not have oversight—you keep discretion over your client accounts. We are here to help you do what you feel is best for your clients. We'll never dictate how you run your business, but we will certainly provide you with our strong recommendations and expertise based on our experience with any issues or questions you might experience.

>> Your New Virtual Office

“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 FocusPoint came along and helped me to put together the pieces.”

talk to us