Our Services
Simple, honest, and professional, those words embody the Stile Compliance approach to RIA compliance consulting. We work with firms of all sizes—companies that value clear answers to regulatory challenges and a consistent and honest path toward meeting regulatory mandates.
We are happy to partner with you on a broad range of solutions.
New firm set up and registration filings
Setting up your firm to meet regulatory requirements should be an individual process, so we avoid cookie cutter solutions. Instead, we provide personalized support based on the services you want to offer, your fee structure, and the firms you will partner with along the way.
And speaking of partners, we will be there for you on an ongoing basis, from crafting your registration documents through filing and follow up. We are always happy to assist you with adding new registrations on an as needed basis.
Representative registration and licensing
As part of our RIA consulting services, we support the complete registration and licensing process, helping you to steer a clear path toward compliance. This includes the U-4 completion process and funding the registration account. We’ll even be there to help you to craft the Form 2B and will ensure that all the appropriate fillings are completed in a timely manner.
Policies and procedures drafting/implementation
As RIA compliance consultants, we will help you draft compliant policies according to your business plan and goals. If your firm has an existing compliance manual, we can help advisers navigate manual requirements ensuring understanding and conformity with all established policies and procedures.
Regulatory impact analysis and change management
Regulations can change quickly, but most firms have limited time or resources to monitor, understand and ensure compliance with each new amendment. With Stile Compliance, you won’t have to. We stay abreast of the regulatory changes and identify each new requirement that impacts your firm. We then inform you of the new requirements and offer a simple, step-by-step plan for achieving compliance.
Compliance Program Design and Implementation
We strongly believe in technology as an enabler to better compliance outcomes and regularly assist firms in the design and implementation of compliance testing and exception reporting solutions. We can assist you in identifying the best technology for your needs and your budget. Or, we can work with your existing technology to build a program that meets your needs. We then take responsibility for incorporating your available data into a robust and intuitive system and ensuring successful use by testing new tools and training your staff on updated processes.
On-going Consultations and Assistance
We are your on-call compliance experts, as fully engaged in your business as you need, and there to answer your questions and simplify your compliance journey. We are proud to be a member of your team and to help you grow your business in a compliant manner.
