Compliance templates and guidance built by a practitioner, not a law firm.
Real compliance infrastructure without a $10,000 consulting engagement.
Essential compliance documents every RIA needs before its first exam
Most firms launch without half of them. Do you know which ones you're missing?
Free. No pitch. Just the checklist.
What makes this different
Not just templates. An implementation map.
Most kits hand you a stack of Word docs and wish you luck. Every template here includes a plain-language guide: why this policy exists, when to use it, how it connects to your other documents, and where your state may require something different.
SEC and state-registered coverage.
The biggest competitor only covers SEC-registered advisers. If you're state-registered (most firms under $100M), their templates don't apply. This kit is built on NASAA model rules so it works across both, with callouts where your state diverges.
Built by a practitioner, not a vendor.
Written by a compliance officer who builds these programs for firms managing billions. Same frameworks, same standards. Not a law firm selling billable hours or a software company upselling you a platform.
Your files. Your machine. No vendor lock-in.
Download the templates and own them. No recurring subscription, no data leaving your firm, no third-party access to review. Your CCO doesn't need to vendor-vet a Word document.
How the kit compares
See exactly what you get at each price point.
| RIA Starter Kit | RIA Express | Consultant | |
|---|---|---|---|
| Starting price | $299 | $695+ | $5,000+ |
| State-registered coverage | ✓ | ✗ | Varies |
| Implementation guides | ✓ | ✗ | ✓ |
| SEC-registered coverage | ✓ | ✓ | ✓ |
| Ongoing support | Tier 2 / 3 | Add-on | ✓ |
| No recurring fees | ✓ | ✗ | ✗ |
coming
soon
Manny Batalla
I'm a compliance officer at a multi-billion-dollar RIA whose compliance program spans affiliated tax, investment banking, and broker-dealer entities, serving private wealth, family office, and institutional clients. The work is authoring and implementing the policies that actually run a compliance program. Recent examples:
- AI governance framework: employee use guidelines (what's allowed in tools like ChatGPT and what isn't), data-security rules for what can be put into those tools, and limits on whether and how AI can inform investment decisions.
- DOL rollover policies: the documentation an adviser has to produce when recommending a client move money from a workplace retirement plan (401(k), 403(b)) into an IRA the firm manages, including why that move is in that specific client's best interest.
- Updates for the amended Regulation S-P: a written incident response program and notification to affected clients within 30 days of unauthorized access to their information.
Two credentials sit behind that work, and both map to what a newly registered adviser has to get right.
The IACCP (Investment Adviser Certified Compliance Professional), co-sponsored by the Investment Adviser Association and Comply, is the specialist certification for investment-adviser compliance, covering the Advisers Act, disclosure, trading, and ethics. It's the same rule set your firm registers under and gets examined on.
The CIPM (Certificate in Investment Performance Measurement), from the CFA Institute, covers performance measurement and the GIPS standards: the discipline of calculating and presenting returns accurately. That's exactly what the SEC's Marketing Rule scrutinizes when an adviser advertises performance. I've spent years applying it on the consulting side, reviewing how other advisers handle performance measurement and reporting.
This kit reflects the same compliance work I do day-to-day at a real RIA, distilled for a firm at the starting line. Not a law firm selling hours. Not a software company selling a subscription. A practitioner sharing the playbook.
Connect on LinkedInChoose your starting point
Templates + implementation maps. Everything you need to build your compliance program.
Coming soonKit + video walkthrough. See how the pieces fit together and where to start.
Coming soonBundle all three tiers: $699