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Monday, June 11, 2018

Compliance Assessment - Where does your firm stand?

By Cory Roberson, Principal at RIA Review and RIA Consults 


Are you an Existing, Start-up or Breakaway investment advisor?

Managing your firm's compliance program can be a challenging feat when factoring in the demands of your other business activities.  Now, while the summer season approaches, could be great time to evaluate your firm’s annual and ongoing compliance obligations.  

We Invite You To Fill Out Our Brief Survey HERE:   

Contact us below regarding your assessment for a brief overview. 

For more inquiries, please contact
Cory Roberson
Roberson Ventures Group, LLC.
2950 Buskirk Ave, Suite 300, Walnut Creek, CA 94597
Phone: 650-305-2688
Email: or

Our Mission: “Serving the Investment Community to Make a Social Impact

Cory Roberson is Principal of RIA Review, a compliance and document management portal ( - 110+ users and growing.  He is also Principal of RIA Consults -Roberson Consults Group), a consulting firm providing compliance, operations, and business development services for registered investment advisors and next-gen fintech entrepreneurs ( more than 160 SEC & State advisors clients across the US (including a few in Europe).  His third platform, RegTech Review, a FinTech compliance portal site: ( is currently in prototype stage.   

As a social entrepreneur, through his mission-driven arm SoCap Missions (, he provides business support group sessions and has volunteered for more than 15 youth 

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