Compliance for RIAs and ERAs
Institutional-grade compliance support for independent advisors and exempt reporting advisers.
Independent RIAs and Exempt Reporting Advisers face ongoing regulatory expectations around supervision, disclosures, testing, and documentation. NextReg provides institutional-grade support designed for firms that want a modern, scalable compliance program. Our approach pairs deep regulatory expertise with practical, tech-focused processes that help advisors stay prepared for exams and daily oversight.
Outsourced CCO
Full CCO services tailored to your firm's size and complexity.
Annual Compliance Reviews
Comprehensive compliance reviews and mock SEC exams.
Exam Support
Expert guidance through SEC and state regulatory examinations.
Marketing & Advertising Review
Marketing Rule compliance, advertisement reviews, and performance presentations.
Policies, Procedures & Documentation
Build and maintain compliant policies, procedures, and operational documentation.
Vendor Due Diligence & Ongoing Oversight
Vendor risk assessment, due diligence processes, and ongoing monitoring frameworks.
Why RIAs Choose NextReg
Institutional-grade experience with complex advisory models
Tech-fluent approach to modern compliance systems
Faster turnaround times and high-touch support
Expertise in Marketing Rule, ADV, annual reviews, and exams
Scalable support for firms of any size