SEC RIA Consulting Services from Practitioners Who Have Been There

SEC RIA Registration Consulting

For emerging managers and new advisory firms preparing for SEC RIA registration, CRC Oyster builds the Form ADV, Form CRS, written policies and procedures, Code of Ethics, and compliance infrastructure needed to launch with confidence.

We don’t just file; we build the compliance infrastructure your firm needs to operate from day one.

SEC registration is more than a paperwork exercise. Your Form ADV and Form CRS establish your regulatory identity — and the basis on which the SEC will evaluate your firm for years to come.

CRC Oyster manages the full registration process, including:

• Assessment of registration eligibility and timing (SEC vs. state threshold analysis)
• Form ADV Part 1, 2A , 2B , and Form CRS drafting
• IARD setup and coordination
• Written Compliance Policies and Procedures development
• Code of Ethics drafting and implementation Advisory agreement review and client disclosure package
• Custody analysis and safeguarding framework
• Guidance on required service providers 
• Pre-launch readiness review

Ongoing SEC RIA Compliance Program Management

For established SEC RIAs that need ongoing RIA compliance support, CRC Oyster provides retainer-based program management, annual reviews, Form ADV updates, marketing review, regulatory change monitoring, and practical guidance throughout the year.

Running a compliant RIA requires year-round attention, not just an annual review. CRC Oyster provides outsourced compliance program management on retainer, acting as an extension of your team to keep your program current, functional, and defensible.

Ongoing support typically includes:

• Day-to-day compliance question and issue response
• Annual 206(4)-7 compliance program review 
• Annual and interim Form ADV amendment and review 
• Marketing and advertising review 
• Personal trading review and Code of Ethics monitoring
• Annual compliance training for supervised persons
• Best execution review support
• Vendor and third-party due diligence oversight
• Conflict-of-interest identification, mapping, and disclosure support
• Regulatory change monitoring and impact assessment

This model works whether you have an internal CCO who needs deeper expertise behind them, or whether CRC Oyster serves as the named CCO.

Fractional CCO Services for RIAs

For SEC RIAs that need an outsourced or fractional CCO, CRC Oyster provides experienced compliance professionals who serve as the named CCO on Form ADV and actively administer the firm’s compliance program.

Rule 206(4)-7 requires every SEC-registered adviser to designate a CCO who is competent, knowledgeable, and typically the primary regulatory point of contact. CRC Oyster provides experienced professionals who serve formally in that role — named on your Form ADV, accessible to your team, and accountable for your program. This isn’t a checkbox service. Our fractional CCOs are active practitioners who understand your business and can engage substantively with regulators, management, and staff. This model is particularly effective for:

• Newly registered RIAs building out their team
• Firms between CCO hires
• Firms where the currently designated CCO lacks compliance depth Investment platforms or fintechs with complex regulatory footprints

SEC Examination Support and Mock Exams for RIAs

For SEC RIAs preparing for an examination or responding to an active exam, CRC Oyster provides mock SEC exams, document request coordination, staff preparation, deficiency response support, and remediation planning.

SEC examinations of investment advisers can be routine or cause-based; the difference matters for how you prepare and how you respond. Either way, the examination process is demanding and consequential. CRC Oyster provides end-to-end examination support.

• Pre-examination (mock exam / readiness):
  • Comprehensive mock SEC examination, structured around current examination priorities
  • Document and records review across key areas –custody, marketing, trading, conflicts, fees
  • Gap assessment with prioritized remediation roadmap
  • Staff interview preparation
  • Policies and procedures stress-testing
• During examination:
  • Document request list review and response coordination
  • Examiner communication strategy and support
  • Privilege and scope issue identification (in coordination with outside counsel where needed)
  • Real-time issue escalation and management
• Post-examination (deficiency response):
  • Deficiency letter analysis and response drafting
  • Remediation planning and execution
  • Follow-up examination preparation

CRC Oyster has supported advisers through both routine and for-cause examinations — from initial request to closure.