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Choose your pricing plan

  • STANDARD

    400$
    Every month
    Fair Equitable Just
     
    • $1,500 UPFRONT FEE (INITIAL ASSESSMENT & CLIENT ONBOARDING)
    • 1 HOUR QUARTERLY PHONE CONSULTATION
    • ANNUAL COMPLIANCE DOCUMENT REVIEW
    • DIRECT EMAIL ACCESS TO A DEDICATED COMPLIANCE CONSULTANT
    • ACCESS TO SMART-RIA

  • Enhanced

    600$
    Every month
    Fair Equitable Just
     
    • EVERYTHING INCLUDED IN THE STANDARD PACKAGE
    • $1,500 UPFRONT FEE (INITIAL ASSESSMENT & CLIENT ONBOARDING)
    • 1 HOUR MONTHLY PHONE CONSULTATION
    • 1 ADDITIONAL STATE REGISTRATION PER YEAR
    • 1 ADDITIONAL IAR REGISTRATION PER YEAR
    • REGISTRATION RENEWAL SUPPORT

  • PREFERRED

    1,000$
    Every month
    Fair Equitable Just
     
    • EVERYTHING INCLUDED IN THE ENHANCED PACKAGE
    • $1,500 UPFRONT FEE (INITIAL ASSESSMENT & CLIENT ONBOARDING)
    • 2 ADDITIONAL STATE REGISTRATIONS PER YEAR
    • 2 ADDITIONAL IAR REGISTRATIONS PER YEAR
    • REGULATOR CONTACT AND RESEARCH
    • ON-DEMAND AUDIT SUPPORT
    • SEC FILING ASSISTANCE
    • 2 HOURS OF ADDITIONAL ON-DEMAND PHONE SUPPORT

  • VIRTUAL CCO

    2,000$
    Every month
    Fair Equitable Just
     
    • EVERYTHING INCLUDED IN THE PREFERRED PACKAGE
    • $1,500 UPFRONT FEE (INITIAL ASSESSMENT & CLIENT ONBOARDING)
    • QUARTERLY OFFICE VISITS (OPTIONAL)
    • WEEKLY 1 ON 1 MEETINGS
    • TEAM MEETINGS
    • EMAIL & SOCIAL MEDIA SURVEILLANCE
    • ADVERTISING & MARKETING REVIEWS
    • NEW EMPLOYEE ONBOARDING & COMPLIANCE TRAINING
    • INVOICING AND BILLING REVIEWS
    • TRADE REVIEWS
    • CLIENT ONBOARDING DOCUMENTATION REVIEWS

  • ADV UPDATE/AMENDMENT

    500$
     
    Fair Equitable Just
    Valid for one month
    • DRAFTING ADV PART 1 ,2, AND FORM CRS
    • FILING ADV UPDATE/AMENDMENT

  • STATE REGISTRATIONS

    800$
     
    Fair Equitable Just
    Valid for 3 months
    • FILLING ADDITIONAL STATE REGISTRATIONS

  • MOCK EXAMINATIONS

    3,000$
     
    Fair Equitable Just
    Valid for one month
    • REGULATORY EXAMINATION PREPARATION
    • REVIEW OF BOOKS AND RECORDS
    • REVIEW OF TRADING PRACTICES
    • REVIEW OF SUPERVISION PRACTICES
    • REVIEW OF ADVERTISING AND MARKETING
    • REVIEW OF CLIENT FILES
    • REVIEW OF BUSINESS PRACTICES
    • REVIEW OF RECORD KEEPING
    • A DETAILED WRITTEN ANALYSIS OF AREAS OF OPPORTUNITY

  • ADDING IAR'S

    400$
     
    Fair Equitable Just
    Valid for one week
    • DRAFTING U4
    • DRAFTING ADV PART 2B
    • FILING ADV UPDATE

  • INITIAL REGISTRATION

    3,000$
     
    Fair Equitable Just
    Valid for 3 months
    • 1 U4 FILING
    • ASSISTANCE WITH DRAFTING CLIENT AGREEMENTS
    • ASSISTANCE WITH DRAFTING FIRM COMPLIANCE MANUAL
    • ASSISTANCE WITH DRAFTING FIRM PRIVACY POLICY
    • ASSISTANCE WITH DRAFTING FIRM BUSINESS CONTINUITY PLAN
    • ASSISTANCE WITH DRAFTING FIRM CODE OF ETHICS
    • ASSISTANCE WITH DRAFTING FIRM ADV PART 2A&2B
    • INITIAL FILING OF ADV PART 2A&2B

  • INITIAL REGISTRATION

    5,000$
     
    Fair Equitable Just
    Valid for 3 months
    • SEC REGISTRATION
    • 1 U4 FILING
    • ASSISTANCE WITH DRAFTING ADV PART 1,2 AND FORM CRS
    • FILING INITIAL ADV PART 1,2, AND FORM CRS
    • ASSISTANCE WITH DRAFTING FIRM COMPLIANCE MANUAL
    • ASSISTANCE WITH DRAFTING FIRM PRIVACY POLICY
    • ASSISTANCE WITH DRAFTING FIRM CODE OF ETHICS
    • ASSISTANCE WITH DRAFTING FIRM BUSINESS CONTINUITY PLAN

  • REGULATOR RESPONSE

    500$
     
    Fair Equitable Just
    Valid for one week
    • DRAFTING DEFICIENCY LETTER RESPONSES

  • CONTRACT DRAFTING

    750$
     
    Fair Equitable Just
    Valid for one week
    • ASSISTANCE DRAFTING CLIENT AGREEMENTS

  • BOOKS/RECORDS REVIEW

    1,000$
     
    Fair Equitable Just
    Valid for one month
    • REVIEW OF FIRMS BOOKS AND RECORDS

  • HOURLY CONSULTATIONS

    300$
     
    Fair Equitable Just
     

    • DFPI Examination

      3,000$
       
      Fair Equitable Just
      Valid for one month
      • Online examination of CA Registered firms
      • In accordance with California Corporations Code Section 2524
      • Tailored to Firms with a Principal place
      • of business outside of California
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