Our Services
We offer tailored Compliance services
Key Bridge Compliance is a boutique consulting firm revolutionizing the regulatory landscape for SEC registered investment advisers. With a passion for empowering advisory practices, we offer compliance solutions that leverage cutting-edge technology and industry expertise. Our compliance services not only help you meet regulatory requirements but also enhance your reputation, increase client trust, and create a competitive advantage in the marketplace. From firms seeking to launch their independent RIA, to established firms, KBC provides practical and effective consulting services to allow RIAs to launch or grow their practice.
SERVICE OFFERINGS
Our four service levels come down to two choices: how much of your compliance program you want KBC to handle, and whether you want a KBC professional to serve as your Chief Compliance Officer. Launching a new firm? Our RIA Registration Service handles your initial registration and can lead straight into any of them.
Compliance Support
For firms that manage compliance in-house and want the resources, filing support, and expert guidance to do it well.
Foundations
Your team gets compliance templates, a standard compliance calendar, written regulatory updates, and access to KBC’s consultants by phone and email, with scheduled meetings each quarter. KBC also serves as your regulatory filing agent for Form ADV and firm brochure submissions, U4/U5 filings, annual IARD renewals, and Form 13F.
Foundations+
Foundations+ includes everything in Foundations and adds KBC’s review of your work, with Form ADV and firm brochure review, advertising review (up to 10 hours per year), employee compliance training, a compliance calendar tailored to your firm, and bi-monthly scheduled meetings. Exam preparation support is available as an add-on.
Full Program Management
For firms that want KBC to run their compliance program end to end. Both levels include the same full program, and the only difference is who holds the Chief Compliance Officer title.
Enterprise
A team led by a Director-level consultant administers your compliance program alongside your in-house CCO, including risk assessment, core and risk-based testing, Code of Ethics administration, the annual compliance review, branch office reviews, and Form ADV and brochure preparation. During an examination, KBC gathers the required data and drafts your regulatory responses. For many firms, Enterprise is the entire compliance team.
Outsourced CCO (OCCO)
OCCO includes everything in Enterprise, and a KBC compliance professional is formally named as your Chief Compliance Officer on all regulatory filings. Your KBC CCO serves as the firm’s liaison with the SEC and state regulators and leads the examination response on your behalf, so your leadership team can stay focused on clients and growth.
RIA Registration Service
For new firms registering with the SEC or their state for the first time.
Your KBC team handles your firm’s initial registration from the first consultation to the day your IARs can begin serving clients. We prepare and submit your Form ADV, Form CRS, and U4 registrations, serve as your primary point of contact with regulators during the process, and build the core documents of your compliance program along the way.
The service is available on its own for a flat fee, or as the first step into one of our ongoing service levels so the same team that launches your firm keeps running your program.
Not sure which level fits your firm?
Schedule a consultation and we’ll help you find the right level of support.
Compare our service levels
See exactly what’s included at each service level, side by side.
Scroll sideways to see all four service levels.
| Deliverable | Compliance Support | Full Program Management | ||
|---|---|---|---|---|
| Foundations | Foundations+ | Enterprise | OCCO | |
Compliance Administration | ||||
| Access to compliance templates | Included | Included | Included | Included |
| Access to standard compliance calendar | Included | Included | Included | Included |
| Creating a tailored compliance calendar | Not included | Included | Included | Included |
| Advertising review | Not included | Included* | Included | Included |
| Core compliance testing program | Not included | Not included | Included | Included |
| Tailored, risk-based testing program | Not included | Not included | Included | Included |
| Risk assessment with annual updates | Not included | Not included | Included | Included |
| Administration of Code of Ethics | Not included | Not included | Included | Included |
| Annual compliance review and drafting | Not included | Not included | Included | Included |
| Risk-based branch office reviews | Not included | Not included | Included | Included |
| Web CRD/IARD account administration and coordination with the firm’s Super Account Administrator (SAA) | Not included | Not included | Included | Included |
| Named CCOA KBC professional is listed as CCO on all regulatory filings, serves as regulatory liaison, and leads the onsite examination response | Not included | Not included | Not included | Included |
Regulatory Filings | ||||
| Regulatory Filing Agent: Form ADV and Firm Brochure submission, U4/U5, Annual IARD renewal and Form 13F | Included | Included | Included | Included |
| Form ADV and Firm Brochure review | Not included | Included | Included | Included |
| Form ADV and Firm Brochure preparation | Not included | Not included | Included | Included |
Consulting Services | ||||
| Virtual onboarding and kick-off | Included | Included | Included | Included |
| Ad hoc consultation via email and phone | Included | Included | Included | Included |
| Written regulatory updates | Included | Included | Included | Included |
| Employee compliance trainings | Not included | Included | Included | Included |
| Examination preparatory call and consultation on exam and deficiency letter responses | Not included | Add-on | Included | Included |
| Examination stewardship including required data gathering and drafting of regulatory responses | Not included | Not included | Included | Included |
| Scheduled virtual meetings | Quarterly | Bi-monthly | Monthly+ | Monthly+ |
* Advertising review commitment is limited to 10 hours per year at the Foundations+ level.
Our Services
Outsourced CCO
Designed for small to mid-size firms committed to growth, our most intensive compliance solution allows you to concentrate your energy and resources on expanding your business.
Experience growth-focused strategies and unwavering compliance expertise with our Outsourced CCO service. Our dedicated compliance expert will seamlessly step into the role of your Chief Compliance Officer, supported by a team of highly skilled compliance professionals. Together, we will provide end-to-end administration of your compliance program.
This service level represents the pinnacle of KBC’s offerings, embodying our commitment to delivering exceptional value and results to our clients. With our Outsourced CCO service, you can confidently pursue your growth ambitions while maintaining the highest standards of compliance.
What is included:
In addition to the services listed Enterprise Consulting Services, a KBC employee will be listed as CCO on all adviser regulatory filings and serve as the regulatory liaison between the firm and the Securities and Exchange Commission, and other regulatory agencies, as necessary. In the event of an onsite examination, the firm can expect that the KBC CCO will be onsite leading the examination response on the firm’s behalf.
- Consultation as needed via phone and email
- Monthly scheduled calls with additional ad hoc meetings as necessary
- Examination support, including the review and preparation of examination responses
- Initial and ongoing review of Form ADV and firm brochure
- Initial and ongoing review of compliance manual
- Regulatory updates and practical guidance on implementation
- Employee training (virtual or onsite)
- Risk assessment with annual updates
- Advertising review
- Personal account monitoring and administration of the firm’s Code of Ethics vendor
- Tailored compliance testing program administered by KBC
- Form ADV annual update amendment and updates as necessary
- Form ADV-E (as applicable)
- Form 13F filings (as applicable)
- Form U4/U5 filings, as necessary
- Will serve as administrator on firm’s Web CRD/IARD account and coordinate with Super Account Administrator (SAA)
Enterprise
Ideal for larger firms seeking to maintain an in-house Chief Compliance Officer while accessing comprehensive, expert support.
Propel your business to new heights with unparalleled compliance support from our Enterprise Consulting service. Our elite team of compliance experts will be dedicated to advising your Chief Compliance Officer and senior management, providing strategic guidance on compliance-related decisions and proactive support.
This service level is specifically designed to leverage the capabilities of your existing team, ensuring that you achieve superior business and compliance outcomes that surpass what you could achieve by managing compliance alone.
What is included:
- Consultation as needed via phone and email
- Monthly scheduled calls with additional ad hoc meetings as necessary
- Examination support, including the review and preparation of examination responses
- Initial and ongoing review of Form ADV and firm brochure
- Initial and ongoing review of compliance manual
- Regulatory updates and practical guidance on implementation
- Employee training (virtual or onsite)
- Risk assessment with annual updates
- Advertising review
- Personal account monitoring and administration of the firm’s Code of Ethics vendor
- Tailored compliance testing program administered by KBC
- Form ADV annual update amendment and updates as necessary
- Form ADV-E (as applicable)
- Form 13F filings (as applicable)
- Form U4/U5 filings, as necessary
- Will serve as administrator on firm’s Web CRD/IARD account and coordinate with Super Account Administrator (SAA)
Foundations+
Best for larger firms who want to keep the CCO internal but provide that person with comprehensive, expert support.
KBC will offer resources and support to empower you in effectively managing your core compliance responsibilities. Gain access to training, templates, and expert guidance, enabling you to independently handle your compliance tasks. With KBC, you can have peace of mind knowing that a dedicated expert will thoroughly review and submit your reports, conduct selective testing, and utilize KBC’s extensive SEC expertise to proactively address potential issues.
As your firm expands and your compliance requirements evolve, KBC offers a range of product options to continue meeting your needs.
What is included:
- Consultation as needed via phone and email
- Quarterly scheduled calls
- Regulatory updates and practical guidance on implementation
- Employee onboarding training (virtual)
- Access to template library
- Ongoing regulatory updates
- Personal account monitoring and administration of the firm’s Code of Ethics vendor
- ADV amendment filing and OTA ADV updates
- Submitting of Part 2A and Form CRS updates
- Will provide questionnaire for U4s and U5s, and submit
Foundations
Best for firms looking to supplement their internal compliance program with additional resources and assistance.
KBC grants you access to essential training, templates, and expert guidance for effectively managing your core compliance responsibilities independently. Moreover, we offer the convenience of submitting some work on your behalf.
As your business continues to grow, rest assured that KBC has an array of additional product offerings ready to seamlessly scale with your firm, delivering continuous support and thorough compliance solutions.
What is included:
- Consultation as needed via phone and email
- Quarterly scheduled calls
- Regulatory updates and practical guidance on implementation
- Employee onboarding training (virtual)
- Access to template library
- Ongoing regulatory updates
- Personal account monitoring and administration of the firm’s Code of Ethics vendor
- ADV amendment filing and OTA ADV updates
- Submitting of Part 2A and Form CRS updates
- Will provide questionnaire for U4s and U5s, and submit
New Firm
Best for new RIA’s and firms looking to start and launch.
A dedicated KBC compliance expert and team will spearhead the creation of your compliance program for your firm. This way, you are set up for success and can focus strictly on growing your business worry-free.
This is a flat fee paid up front and at the conclusion of three months, you can decide how you want to handle compliance moving forward.
What is included:
- Initial Consultation
- ADV Part 1A Creation
- ADV Part 2A Creation
- ADV Part 2B Creation
- U4 Registrations
- Form CRS Creation
- Privacy Policy Creation
- Template Compliance
Policies and Procedures