NWMG maintains a team of LPL Registered Principals to provide concierge level compliance services to advisors on either the hybrid or corporate RIA platform.   A dually-registered advisor with NWMG or an advisor registered solely with LPL can expect to be visited once every two year by an LPL examiner for a branch audit. 

Audit Preparation

  • Branch Mock Audits
  • Deficiency Prevention & Resolution

Account Surveillance

  • Automated monitoring, detection and resolution tool
  • Standardized Investor Policy Statements

Advertising & Correspondence Review

  • Streamlined online advertisingsubmission & review through ComplianceMax
  • Supervision of all advertising and correspondence

Registration & Licensing

  • Efficient transition of licenses to NWMG and LPL
  • Annual license maintenance and renewal notification

NWMG Examinations

  • Annual yearly examination and analysis of fee-based business
  • Ongoing compliance education refreshers

Streamlined RIA Advisory Agreements

  • NWMG advisory agreement accessible through e-Signature
  • All-in-one agreement authorizing account management, sub-account management, financial planning and hourly consulting

Business Continuity Planning