Investment Advisor Services

Compliance Examination & Testing

Securities Exchange Commission (“SEC”) Rule 206(4)-7 under the Advisers Act requires investment advisers to do three things: 1) implement written policies and procedures designed to prevent, detect and correct violations of the Advisers Act by the adviser and its supervised persons; 2) designate a chief compliance officer responsible for administering the policies and procedures; and…

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Business Planning & Registrations Services

RRS’ staff has over 15 years of experience dealing with state and federal registration, licensing, and filing issues, which have resulted in the registration of over 1,000 state and federally licensed investment advisers and thousands of registered investment advisory representatives. Whatever your registration or licensing needs, RRS has the experience to guide your firm through any registration or…

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Compliance Program Policy & Procedure Development

Well documented written policies and procedures form the foundation for a sound Compliance Program. Rapid changes in regulations, products and services necessitate frequent updates to written policies and procedures manuals. RRS will work with you (on or off site) to understand your firm’s investment philosophy and day-to-day operations to customize procedures that best fit your…

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Compliance Support Services

RRS provides customized ongoing compliance support services that include prompt response to your compliance issues through onsite meetings, telephone and e-mail. Whether you need answers to general questions, registration or filing assistance, help amending policies and procedures, or assistance with internal inspections, RRS can customize a solution to provide you with the ultimate flexibility…

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