Comprehensive Compliance Solutions
From registration through ongoing oversight, we provide end-to-end regulatory support for modern investment advisors
New RIA Registration & Launch
Complete end-to-end support for SEC or state RIA registration including Form ADV preparation, compliance manual drafting, and all required policies and procedures.
Ongoing CCO & Compliance Support
Fractional Chief Compliance Officer services providing institutional-grade oversight with flexible engagement models tailored to your firm's needs.
Specialized Fintech & Robo Consulting
SPECIALIZED OFFERINGExpert guidance for technology-driven advisory platforms including model governance, automated advice compliance, and vendor management.
Annual Reviews & Mock SEC Exams
Comprehensive annual compliance testing designed to identify gaps before regulators do, including mock examinations and remediation support.
SEC & State Exam Support
Experienced guidance through regulatory examinations from document request response through deficiency remediation with former regulator insights.
Managed Compliance Services
Comprehensive outsourced compliance operations including marketing review, ADV updates, reporting, and ongoing monitoring.
Our Service Delivery Model
Flexible engagement options designed to meet your firm's specific needs
Project-Based
Defined scope engagements for specific initiatives like registration, annual reviews, or policy updates
Retainer Services
Ongoing monthly support with predictable pricing and guaranteed response times
Hybrid Models
Combination of project work and ongoing support tailored to your compliance lifecycle
Not Sure Which Services You Need?
Schedule a consultation to discuss your firm's specific compliance requirements and get a customized service recommendation.
Schedule a Consultation