Financial Services Regulatory Compliance - Consulting and Resources for Advisors
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RIA Fast Track Program

Nancy LiningerThe RIA Fast Track Program includes compliance resources and consultations to get your operations up and running. This is a start-up service for new RIA firms.
The RIA Fast Track Program is designed to lift the burden of compliance off your shoulders in an efficient and economic manner. It is a part do-it-yourself and part Ask the Expert solution. Delivery of the program is in a 6-week series of manageable chunks.
You will be responsible for completing weekly assignments in a timely manner. We work first on your registration documents (IARD Entitlement; Form ADV Parts 1 and 2A/2B; Form U4). We also focus on your client Advisory Agreement. While you are waiting for registration approval from the regulators, we continue getting your compliance in shape with your written Policies and Procedures. Even after your registration is approved, we work to get your new operations in tip top form with your Identity Theft Prevention Program and Business Continuity Plan.
Contact Todd Sakoda for more service details and current pricing information.

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