EXCLUSIVE CHECKLIST

The Complete RIA Compliance Guide

Compliance can feel overwhelming for Advisors balancing client needs and business growth. This streamlined checklist is your go-to resource for assessing and improving compliance across every facet of your business—quickly and confidently. Empower your business with the tools to stay ahead of regulatory requirements and focus on what matters most: your clients and your growth.

 

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RFG Advisory by the Numbers

$5.4B

Total Assets*
 *Including AUM, AUA, NDA

19%

YoY Advisor Average Annual Organic Growth Rate

85

Net Promoter Score

Take the Stress Out of Compliance

This comprehensive checklist is designed to equip Advisors with:

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Effective Approaches
Discover three actionable approaches to streamline compliance, so you can focus on growth without added complexity.
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Actionable Guidance
Access clear recommendations to support compliance in your sales and marketing materials.
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Targeted Insights
Identify the regulations relevant to key areas of your business, helping you stay informed and aligned with industry standards.
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Identify Compliance Blind Spots

Regulatory penalties for RIAs can reach millions of dollars. Proactively address potential blind spots to safeguard your business and help drive long-term success.

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Securities offered by Registered Representatives through Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC ("RFG Advisory" or "RFG"), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities.

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