Our RIA Service Provider Due Diligence Platform was designed to solve a persistent problem for registered investment advisors. How to comply with the regulatory requirement to conduct due diligence and performance monitoring on numerous service providers (SP’s) – and do it efficiently, inexpensively, and in a manner that passes SEC and State audits.
We’re pleased to say we’ve solved that problem! Our Platform allows our experienced professionals to do all the work for you – setting up your service provider books and records, performing due diligence and ongoing performance monitoring, helping you respond to regulatory audits, alerting you to service provider news and significant changes, documenting vendor attestations, and monitoring for new regulatory obligations, and much more. All at low cost and with 24/7 access to your client portal.
Why waste your firm’s time and resources when our experts can do it for you?
The RIA Service Provider Due Diligence Platform is a service of Clear Disclosure Partners. Dave Dickinson founded Clear Disclosure Partners in 2015 and utilizes the strong due diligence and research skills of his wife, Beth Dickinson at Regulatory Alliance. Regulatory Alliance was founded in 1997.
Dave and Beth have more than 80 years of combined experience in all aspects of the financial services industry, with a primary focus on the investment advisory business.
Leadership
Dave Dickinson has more than thirty years of service in the financial industry and is an expert in RIA compliance and operations. He is a graduate of Michigan State University and has held the Series 7, 26, 63, and 65 securities registrations and life, health, annuity, and variable insurance licenses.
He is currently the Chief Compliance Officer for two SEC registered investment advisory firms.
He started his career as a wholesaler for the Paul Revere Insurance Companies before spending seven years as a financial consultant with Merrill Lynch. He was an early adopter of the fee-only registered investment advisory business, founding several RIA practices.
Dave has consulted with RIA firms on investment management, operations, compliance, marketing, and RIA start-up systems; and for many years has been a sounding board for his wife and her regulatory compliance consulting practice.
Beth Dickinson has over 30 years of industry experience and is nationally recognized as a seasoned compliance expert and diligent researcher. Regulatory Alliance is an independent and referral-based compliance consulting practice that is entering its 25th year of operation.
Regulatory Alliance serves investment and legal professionals nationwide. Over the course of her career, Ms. Dickinson has worked with the following operations: SEC and state regulated investment advisers, broker-dealers, independent compliance firms, an investment company, and attorneys. Services are private and confidential.
Regulatory Alliance (formerly Dickinson Regulatory Alliance) has been in operation since 1997.
Our research and operations are assisted by several young professionals including family members. We are eager to promote the financial services industry and particularly regulatory compliance as a rewarding career path.