FINRA & SEC Regulatory Compliance Experts

Breakaway RIAs

Be In Control of Your Future

Work with the premier provider of registration and ongoing compliance solutions for Wirehouse-to-RIAs.

Your branding. Your name. Your way of providing excellent service.

You’ve become a success story inside a wirehouse. You’ve worked hard to build a large and impressive practice serving clients who trust and value you. You’ve helped your clients over the years through great relationships and so many memorable moments.

Are you ready to take the next step and own the entire client relationship by breaking away from your wirehouse and creating your own Registered Investment Advisor (RIA)?

Work with RND Compliance to achieve this next stage in your success.

Our experienced compliance professionals stay up-to-date with regulatory changes and work closely with you to ensure we understand and meet your needs.

We handle the entire process for you; ensuring you meet all compliance obligations, so you can focus on what you do best — helping your clients meet their personal and financial goals.

You can trust that your RIA is positioned for long-term success while meeting all regulatory requirements.

While we navigate the complex regulatory landscape and help you meet all compliance obligations, you’ll enjoy a seamless experience from initial registration to annual filings. Our comprehensive compliance services include options for ongoing compliance support and creating a bookkeeping system for your new practice, as needed.

As a newly formed RIA you’ll have confidence and peace of mind so you can focus on serving your clients, your way. 

Contact RND today to inquire about the process of forming an RIA and our learn about our suite of services to support your efforts.

Why work with RND?

Our experts have over 40 years’ experience in FINRA and SEC regulatory and compliance and stay ahead of changes so you don’t have to. 

Our Services

Why Work with RND?


Our experts have over 40 years experience in FINRA and SEC regulatory and compliance and stay ahead of changes so you don’t have to.


High-speed, efficient turnaround on your requirements.


Ability to work onsite as an extension of your team or fulfill specific compliance and regulatory needs.

Affordable Solutions

Cost-effective and efficient solutions for your business model.

Proven Strategies

Our experts use real-world experience to deliver clear, pragmatic, and actionable solutions to accomplish your business and regulatory goals.

Strategic Partnerships

We partner with the best of the best to ensure the highest level of services.