RIA OUTSOURCED COMPLIANCE
Is Your RIA Compliance Slowing Down Your Growth—or Putting You at Risk?
STP provides institutional-quality RIA compliance services that help you stay audit-ready, reduce operational risk, and free your team to focus on clients and growth.
Whether you manage compliance in-house or want to replace your current provider, our RIA compliance consultants deliver the expertise, technology, and scalability you need.
Approach RIA Compliance Support with Confidence. Book a Meeting.
Tired of Juggling Regulations, Deadlines, & Compliance Admin Work?
Our outsourced RIA compliance services provide the oversight, documentation, and proactive guidance your firm needs to stay ahead of evolving regulations—without the headaches of managing it alone. From policy creation to exam readiness, we handle the details so you can focus on your core business.
Form ADV &
Form PF
Form 13
Filings
Performance Advertising Disclosures
Compliance
Policies
Exams & Compliance Reviews
Outsourced Compliance Functions
The Biggest Compliance Traps That You Don’t Even Know Are Happening at Your Firm
This guide explores the latest enforcement actions, outlines potential pitfalls, and provides practical, experience-based recommendations to keep your firm compliant.
BENEFITS OF OUTSOURCING
Expert RIA Compliance Support Without the In-House Overhead
Support for Regulatory Filings
Ensure accurate, on-time SEC and state submissions so you avoid costly delays, deficiencies, and penalties.
Compliance Program Implementation
Establish a comprehensive, tailored compliance program that meets regulatory requirements and scales with your firm.
Employee Training
Equip your team with the knowledge and tools they need to follow compliance protocols with confidence.
Compliance Committee Governance
Strengthen oversight and decision-making with structured committee processes and expert guidance.
Ongoing Compliance Monitoring
Identify and address issues before they become violations through continuous, proactive oversight.
AML Compliance Assistance
Stay aligned with anti–money laundering regulations through policy support, monitoring, and reporting best practices.
PERSPECTIVES
RIA Compliance Insights for a Stronger, Safer Firm
Artificial Intelligence (AI) is no longer a distant frontier—it is reshaping financial services today. From algorithmic trading and client communications to compliance monitoring and portfolio construction, advisers are embracing AI...
In today’s ever-changing financial services landscape, more advisers are breaking away from larger firms to launch their own Registered Investment Adviser (RIA) practice.
Outsourced Compliance: A Strategic Response to Regulatory Strain
Learn how firms are reducing compliance strain and improving exam readiness by outsourcing key responsibilities to expert partners.
