Synergy RIA Compliance Solutions

Monthly Consulting

Our Monthly Consulting service gives you confidence in your compliance program and peace of mind knowing you can tap into our collective expertise whenever you need to.

With our Monthly Consulting package, we focus on a relationship management based approach, much like the advisers that we serve.

We don’t count minutes or emails. Instead, we’re here whenever you need support. You’ll have direct access to our team to ask all your compliance questions, including through our live Q&A sessions. We deliver ADV updates, including both Annual Updating Amendments, and unlimited “other-than-annual amendments.” We provide unlimited State and SEC registration support, including firm initial registrations. This service includes managing Investment Adviser Representative onboarding and off‑boarding, regulatory research and resolution, and on‑demand audit support. Compliance task management technology is available upon request.

Starting at $699 / month
RIA Compliance Solutions

How Can We Be of Service To You?