FORM YOUR RIA
FORM YOUR RIA

Compliance

Our CCO team will oversee every element of your new RIA from front to back, including complete oversight of total firm compliance.

deep expertise

Let us do the heavy lifting.

Our Services

Compliance

RIA Formation
We will lead the entire process to form the legal entity with all appropriate state and federal agencies, including the SEC. We will ensure that all elements of the new RIA are completed, and verified, before an official launch.
Processes, Procedures, and Documentation
We will work closely with your team to ensure that all compliance processes, tools, procedures, and manuals are in place before we launch.
Firm Oversight and Compliance
Our CCO team will provide complete oversight, training, and compliance adherence to all policies and procedures as dictated through the RIA compliance manual. The CCO team will keep the new RIA abreast of new rules and regulations coming down from the SEC and emerging trends in industry violations.
a critical partnership

Ascendia’s Shared Services

Compliance
Our CCO team will oversee every element of your new RIA formation while interfacing directly with local governments and the SEC. We lead the process from beginning to end.
Accounting & Finance
Our finance team can provide every detailed element of running your RIA from billing, payment systems, payroll processing, reporting, and financial statement reporting.
Human Resources
Our HR experts will set up the new RIA to run like a business including policies, procedures, annual reviews, employee onboarding, recruiting, and hiring initiatives.
Technology Services
Our technology team has a deep expertise in the financial services space, keeping you up to speed on the rapidly changing landscape of the industry. Need a modern tech stack?
Business Analytics
We will supply business intelligence and analytics to ensure that critical business KPIs are on track. Our experts will dive deep to maintain visibility on what matters most.
Strategic Consulting
Our C-Suite will provide the guidance on strategic business initiatives such as M&A, succession planning, process improvement, or any unique initiative that drives growth.

Collaborate with Us!

Ascendia Partners will drive strategic business growth while ensuring your independence.
We have the track record to prove it. Let us prove it again.

Let's Grow Together