RIA Compliance Concepts

What RIA Compliance Concepts does

RIA Compliance Concepts is a boutique compliance consulting firm founded in 2017 and headquartered in Austin, Texas, focused exclusively on serving registered investment advisory (RIA) firms in the United States. The company delivers a comprehensive suite of services covering RIA registration (state and SEC), annual Form ADV amendments and renewals, regulatory examination preparation, ongoing compliance management (correspondence reviews, trade surveillance, fee calculations, policy reviews), auditing, business broker registration, and transitions from state to SEC registration as AUM scales. There is no proprietary technology platform; service delivery is people-driven via phone, email, and website contact forms.

The firm operates three pricing motions: hourly consulting, fixed-project engagements, and tiered monthly subscriptions branded "Concepts" (DIY at $325/month up to Concepts IV at $1,350/month for up to 8 consulting hours per month). Project-based work is structured with tiered Form ADV amendment pricing ($1,500-$2,100) and regulatory examination prep ranging from $4,000 to $20,000. In addition to core advisory work, RIA Compliance Concepts distributes on-demand IAR continuing education courses through a strategic partnership with Kaplan via a dedicated portal (home.kaplanlearn.com/portal/RIACC), targeting individual Investment Adviser Representatives with CFP designations across multiple states.

The firm is small and founder-led. The named team comprises Founder and Managing Partner Ivan Barretto, Director of Operations & Efficiency David Dudensing, Director of Registration Meredith Swedlund, and Senior Consultants Teresa Douberly and Andrew Burgess, consistent with the stated 1-10 employee band. Distribution relies on a direct sales motion augmented by an active content program — a blog covering SEC regulations, cybersecurity, AI, and Form ADV topics; a podcast ("The RIA Compliance Collective"); and social presence on LinkedIn, Facebook, Twitter/X, Instagram, and Pinterest. The company is privately held with no external institutional investment disclosed.

Name

RIA Compliance Concepts

Legal name

RIA Compliance Concepts

Website

https://riacc.io

Company type

Private

Founded year

2017

Operating status

Operating

Headcount range

1–10 employees

Short description

RIA Compliance Concepts is a boutique Austin, Texas-based consulting firm founded in 2017 that provides compliance, registration, auditing, and ongoing advisory services to registered investment advisory firms in the United States through hourly, fixed-project, and monthly subscription engagements.

Ownership category

akta.pro rank

Product category

Investment Adviser Compliance Consulting

NAICS

Professional, Scientific, and Technical Services (54), Other Scientific and Technical Consulting Services (541690)

SIC

Services-Management Consulting Services (8742), Services-Engineering, Accounting, Research, Management (8700)

akta.pro primary industry

Investment Management Advisory (RIA) (FSAEAAAB)

Keywords

• RIA compliance consulting
• Investment adviser registration
• Compliance auditing services
• Regulatory examination prep
• IAR continuing education

Headquarters

HQ city

Austin

HQ country

United States

HQ region

North America

Offices2 records

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel, Operations, Marketing or Sales, Technology or R&D, Infrastructure

Revenue model

1. Compliance Consulting Services: Hourly consulting, fixed-project engagements, and monthly subscription services for RIA compliance needs including registration, auditing, and ongoing compliance support.
2. Annual Renewal and Amendment Services: Tiered pricing for Form ADV amendments based on complexity (material changes): Tier 1 ($1,500-$1,800), Tier 2 ($1,800), Tier 3 ($2,100).
3. Regulatory Examination Prep Services: Preparation services for regulatory examinations based on firm complexity and regulatory jurisdiction. Pricing ranges from $4,000 to $20,000.
4. Monthly Subscription Compliance Services: Monthly subscription tiers: Concepts DIY ($325/month), Concepts II ($575/month up to 2.5 consulting hours), Concepts III ($800/month up to 4 hours), Concepts IV ($1,350/month up to 8 hours).
5. Pre-paid Consulting Packages: Pre-paid hourly consulting packages at discounted rate of $325/hour when purchased in 10+ hour blocks.
6. Continuing Education Program: Partnership with Kaplan to provide IAR continuing education courses through on-demand CE portal.

Pricing tiers

Go-to-market motion1 record

Distribution channels1 record

Marketing channels8 records

Core offering

RIA Compliance Concepts is a boutique consulting firm providing compliance advisory services to registered investment advisory (RIA) firms. Core offerings include RIA registration assistance, compliance auditing, ongoing compliance management (correspondence reviews, trade surveillance, fee calculations, policy reviews), annual Form ADV renewals and amendments, regulatory examination preparation, RIA transition services (state to SEC), and business broker registration support. Services are delivered via hourly consulting, fixed-project engagements, and tiered monthly subscription packages (Concepts DIY through Concepts IV), plus a Kaplan-partnered IAR continuing education program.

Product overview

RIA Compliance Concepts is a boutique consulting firm offering compliance solutions for registered investment advisory firms. The company provides a comprehensive suite of compliance services including registration assistance, auditing, on-going compliance management, annual renewal/amendment services, and regulatory examination preparation. Services are delivered through flexible engagement models: hourly consulting, fixed-project pricing, and tiered monthly subscription packages (Concepts DIY through Concepts IV). The firm also offers an IAR Continuing Education program in partnership with Kaplan for investment adviser representatives seeking to maintain licensure.

Differentiator

Problem solved

Functional benefit

Products and services

• Hourly Consulting Services Flexible compliance consulting delivered on an hourly basis for registered investment advisory firms needing ad-hoc compliance guidance and expert advice.
• Auditing Services
• Registration Services
• RIA Transition Services
• Business Broker Registration & Compliance
• On-Going Compliance Services
• Annual Renewal and Amendment Services
• Regulatory Examination Prep Services
• IAR Continuing Education Program

Named customers1 record

Segments2 records

Ideal customer profiles2 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Partnerships

One partnership is on record.

• KaplancoreStrategic or Co-development PartnerPartnership with Kaplan, a reputable CE (Continuing Education) provider, to deliver IAR continuing education courses. Through this partnership, RIA Compliance Concepts offers on-demand CE courses for Investment Adviser Representatives (IARs) with CFP designations. Courses cover topics including senior needs planning, asset allocation, annuities, section 529 plans, and more. The Kaplan partnership enables flexible online learning through a dedicated CE portal at home.kaplanlearn.com/portal/RIACC.

Scale indicators1 record

Recent moves5 records

Expansion highlights5 records

Direct peers

• RIA in a Box: Technology-enabled compliance platform purpose-built for RIAs offering registration, AML, cybersecurity testing, and outsourced CCO services — directly competes with RIACC in registration and ongoing compliance support for small and mid-sized RIA firms.
• National Regulatory Services (NRS): Long-standing consulting and software firm serving investment advisers and broker-dealers with registration, supervision, and continuing education offerings; overlaps with RIACC on RIA registration, training and compliance consulting.
• Cipperman Compliance Services: Boutique RIA compliance consultancy providing outsourced CCO services, mock audits, registration, and examination preparation — the closest scale-and-positioning analog to RIACC's boutique RIA compliance model.
• Core Compliance & Legal Services: Outsourced compliance and legal services for broker-dealers, RIAs and investment companies including registration, supervision and ongoing compliance support — a head-to-head peer in the RIA compliance space.
• Compliance Risk Concepts: Specialist compliance consultancy serving investment advisers, mutual funds, and private funds with outsourced CCO and advisory services; competes directly with RIACC on RIA compliance consulting engagements.
• CCO Consulting Group: Compliance and risk-management consulting firm offering outsourced CCO services for RIAs and broker-dealers; comparable to RIACC's boutique outsourced-compliance model for small and mid-sized advisory firms.
• AdviserCompliance Associates: Full-service compliance consulting and outsourced CCO support for RIAs, broker-dealers and hybrid firms; an additional boutique peer offering similar registration, audit and ongoing compliance services.

Broad incumbents

• ACA Group: Large-scale GRC and compliance advisory firm serving the broader financial-services industry; competes with RIACC on RIA compliance but from a much wider portfolio including enterprise risk, AML and cyber.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat3 records

Key risks5 records

Key highlights6 records

Customer concentration

• Xx.com/RIAComplyCEP
• Facebookfacebook.com/RIAComplianceConcepts
• LinkedInlinkedin.com/company/25040493
• Instagraminstagram.com/riacomplianceconcepts
• Pinterestpinterest.com/ivanbarretto/pins

Revenue estimate

Valuation estimate

Number of profiles

Profiles5 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about RIA Compliance Concepts