California State-Registered RIA Compliance
Compliance resources and tools tailored for state-registered investment advisors in California.
Regulatory Authority
California Department of Financial Protection and Innovation (DFPI)
Exam frequency: Risk-based, typically every 3–5 years
Fee data: IARD IA Firm Fee Schedule (11/1/2025), IAR Fee Schedule (3/6/2026)
Key California Compliance Requirements
State-specific regulations that California RIAs must follow.
NASAA Model Rules
NASAA has adopted model rules covering custody, books & records, ethics, marketing, and more. Individual state adoption varies.
NASAA model rule adoption varies by state and is governed by each state's securities regulations. For California-specific adoption status, consult the California Department of Financial Protection and Innovation (DFPI). For verified adoption data across all states, see our State Adoption Tracker.
California Exam Preparation
Be ready when your state examiner schedules an inspection.
Document Preparation
Ensure all required books, records, and compliance documentation are organized and accessible.
Compliance Program Review
Verify your written compliance policies address all state-specific requirements.
Staff Training Records
Maintain documentation of ongoing compliance training for all advisory personnel.
Regulatory Filings
Confirm all state registration filings, amendments, and renewals are current.
Ready to simplify California compliance?
Compliance Approved helps California state-registered RIAs stay compliant with automated tracking and documentation.