RIA Compliance Services

Building and maintaining a strong SEC compliance program is complex and time consuming. Fairview delivers full-service compliance administration for registered investment advisers to help firms manage risk, stay ahead of regulatory change, and operate with confidence.

We act as an extension of your team, handling execution, documentation, testing, filings, and exam preparation, enabling you to focus on other tasks, while remaining confident in your compliance program.

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A Different Kind of Compliance Partner

At Fairview, we believe effective compliance requires more than templates and annual check-ins.

Whether you are launching a new RIA, or supplementing an existing in-house compliance team, we provide the structure, oversight, and hands-on support CCOs need to run sound compliance programs.

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Comprehensive Compliance Administration

We support the full lifecycle of your RIA compliance program—from registration through SEC examinations and ongoing oversight.

Core Services Include:

• SEC registration and ongoing regulatory filings
• Development and maintenance of policies and procedures
• Form ADV preparation, filing, and amendments
• Annual compliance reviews and documentation
• Compliance program risk assessments
• Ongoing testing of policies and procedures
• Code of ethics and personal trading monitoring
• Marketing and advertising review
• Books and records management
• Coordination of related filings (Form D, Form PF, Section 13 filings, and more)
• SEC exam preparation and hands-on exam support

Each engagement is tailored to your firm’s size, complexity, strategy, and regulatory profile.

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Built for Chief Compliance Officers

We partner closely with CCOs who are juggling expanding regulatory expectations with limited internal resources.

Our clients depend on us to:

• Track and interpret SEC rulemaking and guidance
• Update disclosures, policies, and procedures
• Maintain testing calendars and documentation
• Identify and remediate gaps
• Produce exam-ready materials
• Provide experienced backup during periods of growth or turnover

With Fairview, you gain continuity, confidence, and a responsive team that understands the realities of operating an RIA.

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Technology-Enabled, Human-Led

Fairview pairs proprietary compliance technology with hands-on professional oversight to streamline administration and strengthen programs.

Our tools help:

• Maintain centralized, real-time records
• Track marketing materials and supporting reviews
• Track COE and personal trading

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Why Fairview

High-Touch Service. Long-Term Partnership.

As a mid-sized firm, Fairview is designed to deliver personalized service at scale:

• Dedicated client teams
• Direct access to senior compliance professionals
• Customized compliance programs
• Proactive communication
• Long-standing RIA relationships

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Explore How Fairview Can Support Your Compliance Program

If you are looking for a full-service partner to help manage SEC requirements and reduce the operational burden on your team, Fairview is ready to help.