Reliant Compliance

Big news! It’s the official launch of my own RIA Compliance Consulting firm, Reliant Compliance. I’m honored to continue my work helping RIAs by providing customized compliance and common-sense solutions. I’m grateful to have worked with so many amazing colleagues and mentors over my career, and I’m grateful for everyone’s support in this exciting new venture. Contact me today to see how I can help your firm. kent@reliantcompliance.com www.reliantcompliance.com #ria #riacompliance #seccompliance #financialcompliance

RIAs: important registration renewal dates are coming up! We can help! https://lnkd.in/gYyi6b-w info@reliantcompliance.com #sec #RIA #cco #RIACompliance #HybridRIAs #investmentadvisors #seccompliance #complianceservices #compliancesolutions #compliancesupport #complianceconsulting #complianceexperts #compliance #financialadvisor #sec #regulatorycompliance #cfp #investmentadvisors #financialplanning #wealthmanagement #investmentmanagement

Reliant Compliance is thrilled to be a participant in the Schwab Advisor Services™ Provider Solutions program! Many of our clients choose to use Charles Schwab, and now Schwab clients can learn more about Reliant Compliance. We look forward to assisting more Schwab clients with their compliance needs! Contact us today to see how we can help your firm. www.reliantcompliance.com info@reliantcompliance.com https://lnkd.in/gkXraw8u

Today we pause to remember the men and women who paid the ultimate price on Sept. 11, 2001. #OhioCommerce #neverforget #patrioitday

The deadline is almost here. But we still have time to help you file your Form N-PX. Contact us today! reliantcompliance.com

More fines for Off-Channel Communications! 26 firms, $390M! RIAs: you need to retain and monitor all electronic communications, not just email! You need to archive text messages, instant messaging, and social media messaging too! But don't worry, Reliant Compliance can help! We can work with you and your existing archiver to get you on track. Or, we can help you find the right archiving vendor for your firm. Contact us today! https://lnkd.in/gYyi6b-w or info@reliantcompliance.com https://lnkd.in/g892QuXk

📣 SEC RIAs who file Form 13F must file the newly required Form N-PX even if they don’t vote proxies. That could be you! Contact Reliant Compliance today, and we can help you with this filing. https://lnkd.in/gYyi6b-w info@reliantcompliance.com #sec #RIACompliance #HybridRIAs #investmentadvisors #seccompliance #complianceservices #compliancesolutions #compliancesupport #complianceconsulting #complianceexperts #compliance #ria #financialadvisor #sec #regulatorycompliance #cfp #cco #investmentadvisors #financialplanning #wealthmanagement #investmentmanagement

Thank you for listing us in your directory, The Wealth Mosaic! We're proud to join the ranks of so many excellent solution providers!

Are you looking for RIA Compliance Support? Look no further than Reliant Compliance. At Reliant Compliance, we support our RIA clients by providing expert compliance advice and doing the heavy lifting. We offer: ✅ RIA Outsourced Chief Compliance Offer (OCCO) ✅ Registration Services: New RIA registration, State Registrations & Notice Filings, State-to-SEC transition services ✅ Form ADV filing, drafting, and updating ✅ Annual Reviews – Rule 206(4)-7 ✅ Compliance Manual drafting and updating ✅ Regulatory Filings support: U4/U5, 13F, 13H, N-PX ✅ Electronic Correspondence Reviews and more Reach out today to see how we can help your RIA. www.reliantcompliance.com info@reliantcompliance.com