Unlock the Power of Good Compliance Protect your clients and your business with GVA Compliance. Compliance Support We understand the importance of compliance support for your practice. The amount of work it takes to comply with ongoing deadlines, ad hoc filings, renewals, and audit support can be overwhelming. This is why our team of industry veterans proactively monitor and support your business — so you can focus on spending more time with your clients. Annual Renewals & Registrations Made Simple A perfect initial filing means nothing a year later. When you take on the responsibility of being a registered investment advisor, your firm has a duty to maintain everything in a timely fashion — or risk trouble with regulators. Registration documents require constant attention, at GVA we take these off your hands: IAR and DBA registrations (Forms ADV 1 & ADV 2, Forms U4 & U5) Client agreements Solicitor arrangements IARD/CRD account servicing Read More Preparing proper documentation is only half of the renewal process—advisors also need items dispatched to the right offices and authorities on a timely basis. GVA Compliance completes the following annual renewal services: Updating GVA ADV I, ADV 2, and all regulatory documents Delivery of all fees to the appropriate authorities on time, every time Assisting with additional requirements and updates — such as changes in your fee schedule, services of your firm, and address changes Assisting with notification of other applicable filings or continuing education requirements Books and Recordkeeping Done for You Given the extensive list of required records from the Books and Records Rule (Rule 204-2 of the Investment Advisers Act) it is critical to partner with experts in large-scale record collections. GVA Compliance streamlines collections for records and more. As experts in this space, we also understand and implement best practices to meet time span and accessibility requirements. Read More Do you know where your records are? Here’s a sample of what regulators may ask to see: Ledgers and other records of assets, liabilities, reserves, capital, income and expense accounts Bank records such as checkbooks, statements, canceled checks and cash reconciliations Financial statements and client invoices related to the investment advisor’s business Correspondence relating to recommendations and advice, payment or delivery of securities and money and orders to buy or sell securities Records of powers of attorney and similar documents given by clients Copies of all notices, advertisements, newspaper articles, etc, distributed Copies of the firm’s business continuity plan, code of ethics, and privacy policies Records on all associated Investment Advisor Representatives (IARs), office employees, interns, and outside consultants Articles of incorporation and/or partnerships Executed client agreements Evidence of client suitability, complaints, check logs, CRS log, as well as evidence of a substantial annual investment advisory client review Marketing Reviews for Risk & Compliance RIAs and financial advisors are held to a high standard when it comes to advertising and marketing. GVA will review all of your materials prior to use for risk based on the current advertising rules and applicable state regulations. Read More Examples of what we can review for you: Business cards Letterhead Seminar presentations Direct mailers Newsletters Websites Client correspondence Blogs Outside business activities Additionally, GVA offers a variety of pre-approved agreements for client engagements, solicitation, consulting services, and more. The best part? Use our online portal to easily track your compliance reviews and streamline your advertising reviews process. Your Partner in Compliance GVA has tools available to help meet your fiduciary duties and protect your clients. Beyond our support services, we also provide all of our advisors regularly updated and maintained: Compliance Calendar and Manual Code of Ethics Policies and Procedures Webinar Trainings Mock Audits Audit Preparation/Completion Support Find Out How Good Compliance Can Help You GVA Compliance Team is exceptional in their dedication to ensuring my business operates ethically and within regulatory guidelines. They consistently go above and beyond in their efforts to protect my company's reputation and maintain a high level of integrity. GVA’s efforts have been so effective that I’ve never encountered any compliance issues. However, I still appreciate their promptness and thoroughness in responding to my inquiries and concerns. Philip R. , ChFC®, GVA Advisor, Pennsylvania Working with the GVA Compliance Team has not only given North Point Advisor Group the insights needed to operate in today’s environment, but also peace of mind knowing that they are looking forward at the changing landscape in order to tackle what’s ahead. David H. , CFP®, AIF®, RICP®, CEPA®, GVA Advisor, Wisconsin Compliance support is a critical area to evaluate when you’re looking to partner with an independent RIA. There’s a balance between having flexibility in your operations while also ensuring you’re compliant with regulators. GVA’s Compliance Team offers that unique balance and has been a huge asset for our firm. Mike D. , CFP®, CEPA®, GVA Advisor, Minnesota Cheryl and her team went above and beyond helping through my transition. They are personable, proactive, and always available to take time to help with any issues or questions I have had. I feel good knowing that they are there to make sure our clients have a great experience, and my team is driving in the appropriate lanes. Jared K. , GVA Advisor, Minnesota Berwyn, PA 920 Cassatt Rd, Suite 202 Berwyn, PA 19312 (610) 296-7630 Wilmington, DE 1200 Pennsylvania Ave, Suite 202 Wilmington, DE 19806 (302) 483-7200 Braintree, MA 30 Braintree Hill Office Park, Suite 202 Braintree, MA 02184 (610) 296-7630 Boca Raton, FL 3837 NW Boca Raton Blvd, Suite 100 Boca Raton, FL 33431 (610) 296-7630