Thank You for Attending Our Presentation
NAPFA Spring Conference 2025
We appreciate your interest in our session at this year’s NAPFA Spring Conference. We’ve compiled resources to help you implement these strategies with your own clients.
Outsourced Compliance Department
Our Outsourced Compliance Department provides comprehensive, ongoing compliance support that functions as your firm’s dedicated compliance team without the cost of hiring full-time staff:
Annual Compliance Review: Thorough assessment of your firm’s compliance program
Custom Compliance Manual: Tailored policies and procedures specific to your business
Regulatory Filing Management: Assistance with Form ADV, Form CRS, and other required filings
Document Resources
Access these exclusive materials to strengthen your compliance program and stay ahead of regulatory requirements:
Compliance University
RIA Compliance University is your comprehensive resource for mastering investment advisor compliance through education:
Self-Paced Learning: Access to extensive compliance training modules
Live Webinars: Regular interactive sessions on critical compliance topics
Document Templates: Customizable forms and disclosures for your practice
Regulatory Updates: Timely notifications about changing requirements
Learn From Experts: Gain insights from seasoned professionals in the industry.
Let’s continue the conversation — This is a chance to connect, share your thoughts on the presentation, and get those compliance queries sorted out.
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Join our mailing list of over 55,000+ financial advisors!
Keep up with the latest industry news from the SEC, FINRA, and more in our weekly newsletter.
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Past Presentations
If you want to see the presentation again (or catch what you missed), you can grab a copy of our presentation deck below.
Thirsty for More Compliance Knowledge?
Check us out on YouTube for more regulatory tips and insights!
Ditch the Bullshit Compliance Consultants
Regulation is going to come, and you have to be ready.