RIA Compliance Services

Don’t let compliance concerns get in the way of growing your business. From training to ongoing support, Good Life offers RIA compliance services to help ensure you remain compliant with ever-changing regulations. Learn more below, and get in touch today.

Compliance Requirements

Industry regulations are complex and change regularly. There are a number of compliance issues facing RIAs, including:

If you work with non-publicly traded assets, you must have a compliant method of valuation for those assets. Note that we do not do valuations of low traded securities.

Clients’ personal information must be kept secure, and compliance regulations need to be followed.

Financial advertising content must be ethical and honest, and it should include disclaimers where appropriate.

Asset handling and storage are under strict regulation. Your firm should have appropriate policies in place for client assets in your possession.

Regulations continue to evolve. We’ll help to ensure you are kept up-to-date with the latest changes.

Compliance Training

Prior to onboarding, each advisor spends time working with our compliance department to help ensure you understand compliance requirements and our process. We will train you how to perform crucial compliance tasks like submitting marketing documents, processing alternative investments, and on-going responsibilities in running your office as a non-osj branch.

Compliance Pre-Transition

When advisors partner with Good Life, they need to either update their existing marketing materials to be compliant with LPL, or they need to create everything from a DBA to a logo and all accompanying marketing materials.

For advisors needing a full “rebrand,” we can take you through our unique brand development process to bring your new venture to life while ensuring compliance. While we have streamlined each of the marketing pieces from business cards to stationery to letterhead and press releases, we still take a very personal approach to make sure the branding process reflects the advisors’ core value, beliefs and personality.

Our team handles everything from the development stage to the compliance approval process and even orders the first round of printing on behalf of the advisor. The main goal is to arm your with all you need on day one of the transition.

Compliance Post-Transition

After onboarding, our compliance consultants have a very proactive approach in obtaining information from advisors on a weekly basis through an online weekly memo submission. These submissions change throughout the month to gather various pieces of information the RIA needs to maintain in accordance with its books and records.

Additionally, our compliance department puts out a weekly notice with the RIA in order to educate our advisors on “hot topics.” Having strong communication while being an advocate for our advisors is a fine balance that our compliance department works hard to maintain.

Let’s Get Started

Our knowledgeable and experienced RIA compliance team is ready to train you and offer support to help ensure your practice remains compliant. Get in touch for more information.