Product Description
About this Product
- Full-service RIA compliance consulting
- Hands-on compliance testing, filings and oversight
- Tailored compliance program aligned to your firm's needs
About RIA Compliance Key
RIA Compliance Key is a boutique regulatory compliance consulting firm dedicated to supporting SEC- registered investment advisers with practical, hands-on expertise. We design, implement, and maintain fully customized compliance programs that reflect each firm’s business model, risks, and operational realities. Our services include compliance manuals and workflows, annual reviews, risk assessments, marketing rule reviews, vendor due-diligence support, ADV updates, and ongoing CCO guidance. Known for our responsive, high-touch approach, we partner closely with advisers to simplify regulatory obligations, strengthen internal controls, and build audit-ready compliance foundations that evolve as firms grow.
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Serving RIAs Since
Discount for Schwab Clients?
0719-93C0
API integration is available through Schwab OpenView Gateway®, which is provided by Performance Technologies, Inc. (“PTI”). Single sign-on is provided by PTI. Daily data files and trading integration are available through Charles Schwab & Co., Inc. ("CS&Co"), a registered broker-dealer and member SIPC. Not all third party providers listed on this site have integration agreements with Schwab. Schwab OpenView Gateway® is a service of PTI.
References to third parties on this site (whether such parties are vendors participating in a service of PTI or independent advisors using a service of a participating vendor) are not an endorsement or recommendation of, or an opinion (favorable or unfavorable), or advice about, or a referral to any product or service of any third party. Advisors are solely responsible for evaluating, selecting, and purchasing products and services offered by third party vendors. Unless indicated otherwise, third parties are independent and not affiliated with PTI or its affiliates.
Schwab Advisor Services includes the custody, trading, and support services of Charles Schwab & Co., Inc. ("CS&Co"), a registered broker-dealer and member SIPC, and the technology products and services of PTI. PTI and CS&Co are separate companies affiliated as subsidiaries of The Charles Schwab Corporation, but their products and services are independent of each other. PTI’s integration solutions integrate data about accounts custodied at CS&Co.
Access to Electronic Services may be limited or unavailable during periods of peak demand, market volatility, systems upgrade, maintenance, or for other reasons.