Our Services Comprehensive Investment Adviser Registration Service Our full-service Investment Adviser registration project. Because DRA is relationship-based, we get to know your business and thereafter we provide future document updates at discounted rates. The Compliance Gurus The Compliance Gurus™ is the premiere compliance and practice management information resource available to the investment adviser community. Via frequent e-mail correspondence, Advisers receive practical regulatory compliance advice, timely alerts, the latest news and information, as well as practice management guidance and more - all for less than a dollar a day! Click here for further details. Customized Annual Retainer Services - Dickinson Regulatory Alliance We can provide a proposal for retainer services that are customized to meet your firms unique needs. Retainer services generally include access to The Compliance Gurus as we as, telephone and e-mail communications, document preparations, electronic filings, marketing and correspondence review and the full range of our compliance services. Our goal is to provide relationship based services and prioritize turnaround times to firms receiving our year round support. We can be your firms compliance department, without the cost of maintaining onsite staff. Please call for further information on this invaluable service! Document Review and Risk-Analysis Services DRA provides detailed analysis of your firm's current Form ADV, Client Agreement and any related compliance documents. Consultation services are always included. IARD / State Registration / Notice Filing Services States do not have uniform document requirements and this can be a time-consuming and frustrating process for your staff. DRA handles the paperwork and will work directly with the SEC and States. DRA is listed with the Securities and Exchange Commission as an IARD Service Bureau. Written Supervisory Procedures Other than public disclosure documents, WSPs can be one of the most important documents you can have when it comes to providing some measure of legal and regulatory protection. Disaster/Contingency Plans Proxy Policies and Procedures  Variable Suitability Policies and ProceduresFor fee-based and fee-only advisory firms. Solicitor Agreements, Compensation Disclosure Documents Expert Witness Beth Dickinson has worked in the financial industry since 1983 with 7 years as an independent professional. Mock Audit An excellent learning tool. A mock audit provides the advisory firm and its principals with valuable guidance and feedback in an effort to help eliminate unfortunate regulatory surprises. Compliance Workshops Consultation Services Advertising and Marketing Services Guest Speaker Don't see what you are looking for? Please contact us. We specialize in tailoring services to meet the unique needs of each client firm. |