A compliance team in your corner
Savvy provides the legal and compliance infrastructure every RIA needs, registration, supervision, communication archiving, and a dedicated CCO, so you stay covered without building a compliance function from scratch.
A compliance team on your side from day one
Savvy’s dedicated Chief Compliance Officer provides oversight for every advisor on the platform. Your compliance team introduction happens in your first month — a structured session covering your obligations, Savvy's supervisory framework, and how to stay in good standing as you grow.
Registration handled before you go live
Your U4 and Form ADV Part 2B are filed as part of your pre-join process. Custodian registration packages for Schwab and Fidelity are prepared and submitted on your behalf. You review and sign. Savvy handles the rest.
Supervision that runs without you managing it.
OBA monitoring and communication archiving are set up and maintained through Savvy's compliance infrastructure. Your communications are captured and stored in accordance with regulatory requirements — continuously, automatically, without you building or managing the system.
Stay legal and compliant, stay focused
Experienced legal support through your move
Switching firms can draw a legal challenge from your old firm. Our in-house legal team, led by general counsel Lisandra Wilmott, has guided many advisors through the same transition and knows exactly what to expect. We help you plan a clean exit and stay by your side if your firm pushes back, so you can keep serving clients.
Registration and licensing, handled
We prepare and file your U4, Form ADV, and custodian registrations with Schwab and Fidelity before you join. You review and sign; we handle the filings and the follow-through.
Ongoing compliance support
Our in-house compliance team handles supervision, OBA monitoring, and communication archiving, so none of it lands on you. They keep you in good standing and audit-ready, and when a question comes up, they know you and your practice by name.
Recognized expertise, on your side
Let’s take compliance off your plate
Related services
FAQ
Non-solicit, non-compete, and non-accept clauses are common across the industry, and enforceability often comes down to your firm's actual history of enforcing them, not just the contract language. We recommend having your agreement reviewed by an employment attorney, and our team can walk through transition timing and sequencing once you have that clarity.
This depends entirely on your current firm's policies, not on Savvy. Some firms require a notice period (sometimes called garden leave) before you can reach clients, so it's worth understanding your specific terms ahead of time. Once you know your firm's policy, our team can help you plan a transition timeline around it.
What we can share is general context: enforcement tends to vary more by firm behavior than by contract terms alone, and our team can help you think through next steps once you have professional legal guidance.
Our in-house compliance team, together with our outside partner ACA Global, supports every step of your move, including U4 and Form ADV Part 2B filings and custodian registration. We build compliance into onboarding from day 1, rather than treating it as a separate hurdle at the end.