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 Maintenance Programs

Ongoing compliance can often take up a lot of time that you could be using to consult with clients. Swayze's approach allows you to minimize the burden of paperwork so you can focus on running your business.

While some clients still prefer a "pay as you go" hourly arrangement, most enjoy the consistency of one of our customizable monthly fixed fee packages. Packages can be customized for any RIA, including private funds.

All of our clients who engage us on an on-going basis have access to SwayzeConnect, our on-line client portal powered by ClioConnect.

Click here to learn more!

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 Learn how SwayzeConnect simplifies your compliance program

Monthly Fixed Fee Packages

If you have a firm and you're looking at the packages below and wondering what tasks you need, you likely need all of them. What drives your choice between which package you select will be how much of it do you want off of your plate and onto ours and cost.

How it works:


Let's start with the Inclusive Package. This package offers everything you need. We are completing the tasks with only some of your assistance and you remain the CCO. We recommend this package for all SEC registered firms since we include the required annual review/mock audit. To learn more about Mock Audits, Click Here.

For smaller or state registered firms, the Base Package may be more appropriate. Although we are not actually performing many of the tasks, we will still remind you to do them as part of your compliance plan so you will never forget.


For much larger firms or for those who prefer to have the peace of mind of not having the CCO burden at all, you can completely outsource it all together.

Swayzes RIA Ongoing service Packages

SwayzeConnect, powered by Clio, is our cloud-based compliance interface software. Through SwayzeConnect, we can assist you in establishing a streamlined and efficient compliance program.

SwayzeConnect's features enable you to implement your compliance plan with ease by providing the following:

  • Compliance Calendar to schedule important upcoming dates on your compliance plan

  • Compliance task management to give you reminders and the ability to assign tasks to others

  • Secure messaging to your compliance consultant

  • Secure document sharing

  • Holding Reports/Personal Account Statement monitoring

  • Manage payments

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