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 expert Compliance 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

RIA Registration

$3,000

Monthly payment option: $300/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

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

ADV Amendment Filing Within 30 Days of Firm Approval

Support with Regulator Correspondence During Registration

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

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

Tier 1

$575

/month

Quarterly compliance review meetings & ad-hoc consulting*

Smartria setup and training

Initial compliance program review and consulting

Development and revision of core documents**

Form ADV and Form U4 amendments filing**

Audit prep support**

Ad hoc email support

Support with three state and three IAR registrations per year

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Tier 2

$1,200

/month

Everything in Tier 1 Plus:

Periodic consulting calls with Compliance team to report findings or updates

Periodic compliance program review and consulting

Support with all additional state registrations or notice filings**

Annual compliance meeting**

Advertising review and approval, email supervision, and advisory contract execution review

Advisory fee review and testing

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Tier 3

$2,000

/month

Everything in Tier 2 Plus:

Employee trade monitoring and reviews***

Periodic client suitability reviews

Optional on-site visit (every 12-24 months)

Audit prep and support during regulatory audit (virtual or on-site)

Recurring compliance reviews and policy testing

Data security review and testing with all access persons

New employee compliance onboarding and training

Section 13F & 13H EDGAR filings**

Plan annual compliance meeting

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Pricing by Service

Form ADV amendment & filing: $500 per ADV Update Engagement (Covers first 2 hours of compliance support)
Additional state registration: $800+ per state, additional hours billed at $360/hour
Notice filing: $180 per notice filing with the appropriate States
IAR registration filing & support: $360 per IAR Registration, $180 per Form U4 Amendment or Form U5 Filing
State to SEC Registration Transition: $1,800 flat fee
Includes application prep and submission, ADV-W filing to withdraw from the state(s), 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.

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