![XYPN_Grid_Green-2](https://www.xyplanningnetwork.com/hs-fs/hubfs/Pothos-Assets/Style%20Guide/Grid/XYPN_Grid_Green-2.png?width=360&height=360&name=XYPN_Grid_Green-2.png)
![Woman advising client confidently](https://www.xyplanningnetwork.com/hs-fs/hubfs/advising-square.jpg?width=360&height=360&name=advising-square.jpg)
Compliance with Confidence
Registering your RIA, updating your annual ADV, or ongoing compliance management. Your team of experts is with you every step of the way.
Customized compliance solutions: just a click away
We hear it every day: compliance is overwhelming for independent financial advisors. That’s why we've prioritized an expert team in-house for you to rely on. Our Compliance team is ready to assist you with your initial state or SEC registration, annual ADV updates, regulatory exam prep, and so much more. Do you just have a quick compliance question? No problem–there are multiple opportunities for Q&A each week through regular office hours and our members-only forums. Rest easy knowing your compliance team is just a click away.
You can serve as your own Chief Compliance Officer. We’ll show you how.
-
Annual ADV Update
-
Smartria Compliance and Task Management Software
-
Weekly Office Hours with our knowledgeable in-house team
-
Access to Members-Only Compliance Forum
-
Compliance Education via Webinars and XYPN Academy
-
How-To Guides and Templates
XYPN Members on Compliance
![benWacek](https://www.xyplanningnetwork.com/hs-fs/hubfs/Member%20Headshots/benWacek.jpg?width=913&height=917&name=benWacek.jpg)
RIA Registraton
You lead the way, while we support you at critical points in your firm registration process.
Enhanced RIA Registration
Our compliance experts lead the way, providing key document development and continuous support throughout your firm registration process.
Complete First Year Compliance
We’ll provide you with comprehensive RIA registration service, foundational compliance program development, and ongoing implementation support during your first year of launch.
Compliance Package Features
RIA Registration
$1,900
Monthly payment option: $175/mo for 12 monthsEnhanced RIA Registration
$2,700
Monthly payment option: $250/mo for 12 monthsComplete First Year Compliance
$6,000
Monthly payment option: $550/mo for 12 monthsTo utilize XYPN for RIA Registration Services, you will need to sign a Member Agreement agreeing to be a member for 12 months.
Compliance for Established Firms
Get comprehensive compliance solutions for your existing RIA
A La Carte Compliance Support
Pricing based on support needed.
- Form ADV amendment & filing support
- $500 per ADV Update Engagement
- Additional state registration support
- $800+ per state, additional hours billed at $360/hour
- Notice filing support
- $180 per notice filing with the appropriate States
- IAR registration filings & support
- $360 per IAR Registration, $180 per Form U4 Amendment
- $180 per Form U5 Filing
- Transition to SEC registration from state-registered
- $800+ includes all necessary revisions and submission of application
Hourly Compliance Consulting
$360/hour
- Regulatory Examination/Audit Support
- State and SEC Mock Audits
- Mock regulatory examination to assess readiness
- Advertising & Marketing Reviews
- Review of marketing material to identify modifications
- Adhoc Compliance Questions & Projects
- 1:1 Consulting over specific compliance matters
Ongoing Compliance Consulting
Consulting packages ranging from $475/month up to $2,000/month
Proactive consulting tailored to your firm with compliance program management support
- Development or refinement of written policy and procedures
- Streamline or build out compliance processes with best practices
- Setup and training on compliance task management
- Support of additional registration and notice filing
- Audit prep support and guidance
- Access to expert compliance consulting
- Unlimited email support
Looking to Learn More About Compliance?
WE’VE GOT A GUIDE FOR THAT
We know firsthand what a bear compliance can be on your own. That's why we've created resources to help financial advisors learn to navigate compliance with confidence.
Learn more →
![EssentialGuideToCompliance_listing-image](https://www.xyplanningnetwork.com/hs-fs/hubfs/Freemiums/Listing%20Page%20Images/EssentialGuideToCompliance_listing-image.jpg?width=1000&height=750&name=EssentialGuideToCompliance_listing-image.jpg)
The Essential RIA Compliance Guide
![The Essential Guide to RIA Registration](https://www.xyplanningnetwork.com/hubfs/Freemiums/Listing%20Page%20Images/EssentialGuideToRIARegistration_listing-image.jpg)