Compliance templates and guidance built by a practitioner, not a law firm.
Built for solo and small advisory firms that need 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 build compliance programs for firms managing billions in client assets. Two credentials sit behind that work, and both map to what a newly registered adviser actually has to get right.
The IACCP (Investment Adviser Certified Compliance Professional), co-sponsored by the Investment Adviser Association and Comply, is a 20-course certification spanning six areas of adviser compliance, from the Advisers Act and disclosure to trading and ethics, and requires two years of investment-adviser compliance experience plus a certifying exam. It covers 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, attribution, and the GIPS standards: the discipline of calculating and presenting returns accurately. That is exactly what the SEC's Marketing Rule scrutinizes when an adviser advertises performance.
This kit is what I'd hand someone launching their own firm: the same frameworks, the same regulatory standards, documented the way I wish someone had done for me when I was starting out. 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