Services

Arcturus Advisory provides comprehensive compliance solutions
tailored to RIAs and RIA buyers:
 
  • Ongoing day-to-day compliance support
  • Robust compliance programs
  • New product launches, including those in emerging areas like crypto assets
  • Strategic incorporation of AI tools into RIA practices
  • Support with SEC exams and regulatory inquiries
  • Pre- and post-purchase M&A support
     
    • Evaluate of compliance programs
    • Assess investment and operational risks of target RIAs prior to a transaction
    • Compliance consulting post-purchase
 
Arcturus Advisory is dedicated to helping your firm maintain a strong compliance posture, adapt to evolving regulations and embrace innovative solutions.

 

Designed for RIAs by an RIA CCO

Arcturus Advisory: Your Compliance Archetype

Day-to-Day Compliance

Ongoing assistance to ensure your firm adheres to regulatory requirements, handling routine tasks and addressing immediate compliance needs.
Policies & Procedures

Policies & Procedures

  • RIA policies & procedures, including compliance manual, code of ethics, desktop procedures.
    • Do your Policies and Procedures accurately represent your firm’s operational practices?
    • Is your firm well-established and growing and you need to tackle records retention, pay to play, legal hold, BCP, and cybersecurity?
    • Is your Code of Ethics tailored to your firm’s practices?
Regulatory Filings

Regulatory Filings

  • Time to file ADV and brochures? Need to refresh your 2Bs?
  • Are you in compliance with the requirements of Form 13F, 13G, 13H, SHO, NPX?

Testing and Rule 206(4)-7 Reporting

Testing and Rule 206(4)-7 Reporting 

A 206(4)-7 report and testing are an annual requirement. Many RIAs do not have proper testing in place and 206(4)-7 failures are the most cited in SEC exams.

Compliance Strategy & Operational Excellence

As financial regulations evolve and your business grows, maintaining a robust compliance framework is essential. Arcturus Advisory specializes in helping RIAs develop and enhance their compliance strategies and operational efficiency.
Compliance Program from Scratch

Compliance Program from Scratch

Launching a new RIA and need a state of the art Compliance Program?

Existing RIA but not time to focus on Compliance?

Deploying New Systems

Deploying New Systems

Want to mitigate risks and ensure regulatory compliance when deploying new operational or compliance systems?  Trust us to handle the complexities of compliance, so you can focus on growing your business confidently.

Launching New Products

Launching New Products

Launching new products or business lines? Is your operational infrastructure compliant? Are your client agreements ready? Have you revised your Policies and Procedures and disclosures to accommodate? Maximize the success of your new launches with our comprehensive compliance services. 

Operations & Surveillance

Operations & Surveillance

Is your Surveillance tailored to your Operations?  Proper Operational processes are crucial to ensure smooth money management and client relationships. 

Inquiries & Exams

Facing an SEC inquiry or exam can be a daunting process, but you don't have to navigate it alone. Arcturus Advisory can guide you through every stage, from initial requests for information to on-site examinations. Comprehensive support, ensuring you are fully prepared, organized, and responsive. With the goal to minimize disruption, protect your interests, and help you achieve a positive outcome.
SEC Exams

SEC Exams

Received an exam letter from the SEC and need help responding? We can help with pulling documentation, getting through interviews and responding to regulatory letters. 

M&A and Integrations

Arcturus Advisory offers specialized consulting services to buyers evaluating RIAs for potential investment or full acquisition. Performing due diligence on compliance in combination with the investment program and operational controls to gain a complete picture of the RIA's risk profile is crucial.  
M&A Compliance Due Diligence

M&A Compliance Due Diligence

Services include conducting thorough reviews of the target RIA's compliance programs, identifying associated risks and assessing the investment program and its inherent risks. If requested, evaluation extends to operations and controls to provide a comprehensive understanding of the RIA's infrastructure. 

Post-transaction Support

Post-Transaction Support

Post-acquisition, Arcturus Advisory facilitates seamless integration by comparing compliance programs, providing tailored compliance training, and assisting with the integration of compliance functions. Arcturus Advisory also provides ongoing post-transaction compliance consulting to address any emerging issues and ensure continued regulatory adherence.

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