Stay ahead of regulatory requirements with continuous compliance support. Our Ongoing Support Services provide you with an experienced compliance partner who works hand-in-hand with your firm throughout the year. We act as an extension of your team – keeping your compliance program updated, answering day-to-day questions, and ensuring your firm meets SEC and state regulations at all times.
Monthly Retainers & Tailored Packages for Continuous Support
Ongoing Support Services
We offer two flexible options for ongoing support: a Monthly Compliance Support Retainer and a Tailored Compliance Service Package. Choose the level of service that best fits your firm’s complexity and workload:
Our monthly retainer provides structured, reliable support to your Chief Compliance Officer (CCO) and team. For a predictable flat fee (typically ranging from $800 to $1,750 per month, based on your firm’s size and needs), you receive ongoing assistance to manage your compliance calendar and obligations. We’ll schedule regular check-ins and be available anytime via phone or email to address concerns – so you can focus on your clients, knowing compliance is under control.
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As a monthly retainer client, you can expect:
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Regulatory filings management: We review and prepare your required filings (Form ADV updates, Form U4/U5, etc.) and submit them on your behalf, ensuring they are accurate and on time.
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Compliance program documentation: Access to a suite of editable compliance documents – including your compliance manual, Code of Ethics, business continuity plan, privacy policy, and compliance calendar – all customized for your firm.
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Unlimited guidance and support: Get unlimited email and phone support for compliance questions and guidance as issues arise. Whether it’s a quick question or a complex scenario, we’re here to help in real time.
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Monthly compliance check-in meetings: We host a remote meeting with you each month to review tasks, address any concerns, and plan ahead for upcoming regulatory deadlines. These standing check-ins keep your compliance program proactive and structured.
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Audit preparation and assistance: If regulators come knocking, we’ve got you covered. We assist with regulatory exam preparation, help you gather documents, and review your responses to regulator inquiries to ensure nothing is overlooked.
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Monthly Compliance Support Retainer
(Flat Monthly Fee)
Tailored Compliance Service Package
(Custom-Tailored Plan)
For firms with unique needs or higher complexity, our tailored service offers bespoke compliance support beyond the standard retainer. This package is custom-built through a free quote process – we assess your requirements and design a plan that provides exactly the help your in-house CCO or team requires. With a tailored engagement, TLC essentially becomes an extension of your compliance department, taking on specialized tasks and providing deeper ongoing assistance.
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Services in a tailored package can include:
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Comprehensive filings and reporting: We handle all aspects of preparing and submitting your firm’s regulatory filings and reports, ensuring accuracy and relieving your team of this time-consuming duty.
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Internal compliance audits: Our consultants conduct thorough internal audits or mock examinations of your firm. We’ll pinpoint any compliance gaps or areas for improvement, and then help implement solutions to strengthen your program.
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Policy implementation support: We collaborate closely with your firm’s leadership (your CCO, COO, or designated compliance personnel) to review documents and records, verify adherence to your policies and Code of Ethics, and ensure you’re complying with all applicable regulations. Through this hands-on approach, we help embed compliance into your day-to-day operations.
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FAQ –
Ongoing Support Services:
Q: What size firms benefit from ongoing support?
A: Our ongoing support is beneficial for small to mid-sized RIA firms that want professional compliance oversight without hiring a full-time compliance officer. If you’re an independent advisor wearing multiple hats (including CCO), or a growing firm that needs more robust compliance infrastructure, an ongoing partnership provides peace of mind and expert guidance on a continuous basis.
Q: Do I need to commit to a long-term contract?
A: We offer flexibility. Our monthly retainer services are generally offered on a month-to-month basis (with the option to continue as long as you find value). There’s no lengthy contract locking you in – we earn your business each month through quality service. For the tailored package, we’ll define the scope and duration with you up front, but that too can be adjusted as your needs evolve.
Q: What’s the difference between the monthly retainer and a tailored package?
A: The monthly retainer is a standardized ongoing service covering the core compliance duties most RIAs need on a regular basis. The tailored package is more customizable – it’s designed for firms that may need extra help beyond the basics (for example, performing in-depth internal audits, handling complex compliance challenges, or providing additional staff training). In short, the tailored service is like an upgraded retainer, built specifically around your firm’s unique situation.
Ready to strengthen your compliance program with an ongoing partner?
Schedule a Consultation to discuss setting up a monthly retainer or tailored support package for your firm.
We’ll customize our services to keep you confident and compliant year-round.