RIA Compliance Consultants
Financial Services • 
Omaha, Nebraska, United States • 1-10 Employees
Company overview
| Headquarters | Omaha, Nebraska, United States |
| Phone number | +18773454034 |
| Website | |
| NAICS | 52 |
| SIC | 874 |
| Keywords | Investment Adviser Registration, Investment Adviser Compliance, Private Fund Adviser Registration |
| Employees | 1-10 |
| Socials |
Key Contact at RIA Compliance Consultants
Jarrod James
Senior Vice President
RIA Compliance Consultants Email Formats
RIA Compliance Consultants uses 2 email formats. The most common is {first initial}{last name} (e.g., jdoe@ria-compliance-consultants.com), used 75% of the time.
| Format | Example | Percentage |
|---|---|---|
{first initial}{last name} | jdoe@ria-compliance-consultants.com | 75% |
{last name}{last name} | doedoe@ria-compliance-consultants.com | 25% |
About RIA Compliance Consultants
Comprised of experienced compliance professionals from the securities industry, RIA Compliance Consultants is a full-service consulting firm providing registration and compliance services for registered investment advisers. For new investment adviser applicants, RIA Compliance Consultants offers a turn-key registration service. Our compliance consultants can serve as an investment adviser applicant's guide by explaining in detail the registration process and requirements, assisting the investment adviser applicant in structuring its investment advisory programs, and preparing investment adviser applicant's Form ADV. For existing registered investment advisors, RIA Compliance Consultants provides a full set of investment adviser compliance services, which include: Form ADV; client brochure; wrap brochure; solicitor arrangements; investment advisor registration renewals and Form ADV annual amendment; IARD service bureau; code of ethics and supervisory procedures; privacy policies and procedures; Section 13(f) filings; Form SH; advertising review; compliance training; annual review and compliance program assessment; and mock regulatory exams. Please note that RIA Compliance Consultants is not a law firm and does not provide legal services.
RIA Compliance Consultants revenue & valuation
| Annual revenue | $3,000,000 |
| Revenue per employee | $300,000 |
| Estimated valuation?This valuation is estimated based on industry average for the Financial Services industry and current estimated revenues | $9,600,000 |
| Total funding | No funding |
Employees by Management Level
Total employees: 1-10
Seniority
Employees
Employees by Department
RIA Compliance Consultants has 4 employees across 2 departments.
Departments
Number of employees
Funding Data
RIA Compliance Consultants has never raised funding before.
RIA Compliance Consultants Tech Stack
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Spain
United Kingdom
Netherlands
Frequently asked questions
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