XYPN | Compliance

We hear it every day: compliance is overwhelming for independent financial advisors. That’s why we've prioritized an expert team in-house for you to rely on. Our Compliance team is ready to assist you with your initial state or SEC registration, annual ADV updates, regulatory exam prep, and so much more. Do you just have a quick compliance question? No problem–there are multiple opportunities for Q&A each week through regular office hours and our members-only forums. Rest easy knowing your RIA compliance consultants are just a click away.

You can serve as your own Chief Compliance Officer. Take it from an RIA compliance company.

What's included in XYPN Membership?

Annual ADV Update
Smartria Compliance and Task Management Software
Weekly Office Hours with our knowledgeable in-house team
Access to Members-Only Compliance Forum
Compliance Education via Webinars and XYPN Academy
How-To Guides and Templates

“Thank you for all your help and expertise these last six months. With the help of the program, we were able to: make sure we were compliant when changing our company name, get registered in a new state, update our ADV documents and client agreements to match the work we actually do for clients, gain a much deeper understanding of our compliance manual and all the compliance tasks we need to stay on top of, and get an actionable plan in place to stay on top of compliance. I will highly recommend this RIA compliance service to other XYPN members.”

Ben Wacek, CFP®, CKA®

Guide Financial Planning, LLC

Standard RIA Registration

$1,900

Monthly payment option: $175/mo for 12 months

Enhanced RIA Registration

$2,700

Monthly payment option: $250/mo for 12 months

Registration Support

Form ADV & U4 Drafting and Submission

Client Agreements & Privacy Policy Drafting

Weekly Compliance Drop-In Group Calls

Core Policies and Procedure Development

Compliance Manual

Creation of Additional Required State Documents for Firm Registration

Templates provided

Business Continuity Manual, Security
Manual, and Code of Ethics Creation

Templates provided

ADV Amendment Filing Within 30 Days of Firm Approval

DIY guide provided

Support with Regulator Correspondence During Registration

Limited to 2 hours (billed hourly after that)

Compliance Foundations

Stressed about being your firm’s CCO? With Compliance Foundations, our expert consultants will help you register your firm, lay the foundation for your compliance program, and boost your confidence in your first year.

Not sure which package is right for you? Choose Standard Compliance Foundations if you're looking for structured training and support over your first year to ensure your year one compliance program is efficient and effective. Choose Enhanced Compliance Foundations if you’re looking for greater flexibility in ad-hoc compliance support like additional State or SEC registrations, adding or removing IARs, and discussing general compliance questions, in addition to developing your firm’s compliance program.

Standard Compliance Foundations

$6,000

Monthly payment option: $550/mo for 12 months

Enhanced Compliance Foundations

$10,000

Monthly payment option: $910/mo for 12 months

Enhanced RIA Registration

Guided CCO Compliance Training

Ad Hoc Email Support After Registration

Smartria Setup and Training

Compliance Program Development

Form ADV & Client Agreement Updates

Audit Prep Support and Guidance when applicable

Additional / Ad-hoc Consulting Calls as needed

Additional State and IAR Registrations

Maintaining Custody over Client Assets

Advisors to Private Funds

Receipt of Performance Based Fees

Investment Performance Advertising

Periodic Compliance Service Engagements

Pricing based on support needed.

Form ADV amendment & filing support
$500 per ADV Update Engagement (Covers first 2 hours of compliance support)
Additional state registration support
$800+ per state, additional hours billed at $360/hour
Notice filing support
$180 per notice filing with the appropriate States
IAR registration filings & support
$360 per IAR Registration, $180 per Form U4 Amendment
$180 per Form U5 Filing
State to SEC Registration Transition
$1,800 flat fee. Includes application prep and submission followed by ADV-W filing to withdraw from the state(s). Also includes an updated set of tailored Policies & Procedures, review of the firm’s website, drafting of updated disclaimers, and a detailed resource guide for SEC-Registered firms.

Hourly Compliance Consulting

Expert compliance support on an as needed basis
$360/hour

Advertising & marketing reviews
Compliance document reviews
State or SEC audit support
1:1 consulting to address specific compliance questions

Ongoing Compliance Consulting

Consulting packages ranging from $475/month up to $2,000/month

Proactive consulting tailored to your firm with compliance program development support

Development or refinement of written policy and procedures
Streamline or build out compliance processes with best practices
Setup and training on compliance task management
Support of additional registrations and notice filings
Audit prep support and guidance
Access to expert compliance consulting
Dedicated email support

Compliance

The Essential RIA Compliance Guide

Compliance

Compliance with Confidence

Registering your RIA, updating your annual ADV, or ongoing compliance solutions. Your team of experts is with you every step of the way.

RIA compliance solutions:
just a click away

XYPN Members on Compliance

Compliance for New Firms