When you have a pressing compliance question or an unexpected issue, you might not need a full project or ongoing engagement – you just need answers, fast. Our On-Demand Hourly Advice service gives you access to expert RIA compliance consulting by the hour. It’s flexible, immediate support for those day-to-day questions or urgent scenarios that can’t wait.
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Think of it as having a “compliance help desk” at your fingertips. You reach out when you need guidance, and we’ll provide the advice or solution on the spot (or as soon as possible), then bill you for the time spent. This option is perfect for independent advisers who occasionally need a compliance checkup, a second opinion, or help interpreting new regulations – without any long-term commitment.
Quick, Pay-as-You-Go Consulting – Expert Compliance Answers at $150/Hour
On-Demand Hourly Advice
Our hourly rate is $150 per hour. You can book time as needed – after the first hour, we bill in 15-minute increments so you only pay for what you use. For example, a quick 30-minute follow-up call after an initial session would be prorated. There are no retainers and no ongoing fees – just quality advice when you request it.
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What’s included with On-Demand support: Even with a simple hourly arrangement, we make sure you receive valuable resources and help:
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Compliance tools & templates: We’ll provide you with our proprietary Annual Risk Assessment Template and other useful checklists or documents as relevant, to help you evaluate and manage your compliance risks throughout the year. These tools are yours to keep and use.
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Regulatory audit guidance: If you receive an unexpected regulatory inquiry or face an audit, you can utilize hourly support to get immediate guidance. We’ll advise you on how to respond, what documentation to prepare, and how to address any findings.
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Flexible timing and billing: You’re in control – use as little or as much time as you need. After the first hour, we log time in 15-minute blocks so you’re never paying for unused time. There’s no contract or commitment beyond the time you need, and you can reach out whenever a question arises.
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Many clients use our on-demand consulting as a safety net – for instance, to double-check a compliance decision, get a second set of eyes on a new policy, or simply stay updated with regulatory changes. It’s an affordable way to have a compliance expert on call.
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How it works:
(Hourly Fee)
FAQ –
On-Demand Consulting:
Q: How do I request hourly advice when I have a question?
A: Just contact us! You can call or email our office with your question or to schedule a quick consulting session. We’ll respond promptly. If your question can be answered quickly via email, we’ll do so and only bill for the time spent researching and writing the response. Otherwise, we’ll set up a phone or Zoom call at a convenient time. Payment is typically handled via an invoice after the consultation is completed (for new clients, we may request a secure payment up front for the first hour).
Q: What kinds of questions can I ask?
A: Anything related to RIA compliance is fair game! Common topics include clarifications on SEC rules (e.g., “Can I do X under the new marketing rule?”), help with filling out a form or ADV update, guidance on how to handle a specific client situation or trading issue, or reviews of a compliance document or policy you’ve drafted. No question is too small – if it matters to you or is keeping you up at night, we’re happy to help address it. If an issue turns out to be too large to resolve in a quick call (for example, needing a deep dive or creation of extensive materials), we might recommend a project-based service. But in many cases, a bit of expert advice at the right time can save you hours of research or potential compliance headaches.
Q: Is there a minimum time or commitment for on-demand support?
A: The only minimum is one hour for your initial session. After that, you can use us as little or as much as needed. There’s no ongoing commitment – you might go months without needing us, and that’s fine. We’re here whenever you do need advice. And remember, after the first hour, we bill in 15-minute increments, so even a quick 15-minute call is an option.
Q: Will I work with the same consultant each time?
A: Yes. When you use our on-demand service, you’ll be connected with our principal consultant or a dedicated compliance expert who knows your firm’s context. Over time, we become familiar with your business and past issues, so you don’t have to re-explain background details on each call. Our goal is to provide personalized, consistent support even in an hourly, ad-hoc format.
Don’t let questions linger or small compliance issues turn into big problems. When you need answers, we’re just an email or phone call away. Get in touch to schedule an hour of on-demand consulting and gain clarity on your compliance question today.