Chief Legal
Officer (CLO) / General Counsel

As your General Counsel, we will help you stay in front of the myriad of issues facing the broker-dealer and registered investment advisor industry today and be there to maximize outcomes in the increasingly complex environment of regulatory issues and litigation.

 

Chief Operational Officer (COO)

Our outsourced COO will conduct a diagnostic and assign a grade to your firm for it’s quantity and quality of what we consider to be the most critical internal policies, external policies and operational procedures that contribute to your firm running smoothly and profitably. Then, based on the results of this diagnostic and using our proprietary process, a customized plan will be proscribed to help you identify, document and implement professional quality policies and procedures so your firm runs more profitably and with more predictability.

Chief Financial Officer (CFO)

Our CFO solutions focus on analysis and interpretation of financial data and management’s decision-making based on company financial data. Our CFOs advise you on how to reduce tax liabilities, build and manage forward looking projections, forward looking cash flow
analysis, reduce accounts receivables, advise on pricing strategies, compensation plans, and the overall profitability of a firm.

Chief Compliance Officer (CCO)

As your business grows and demands more of your time, outsourcing your compliance program to an expert who can efficiently run and supervise your team is key to exponential growth. By outsourcing the CCO role, you save your firm money, time and
the headache of keeping up with regulatory changes. Our CCO will meet the SEC’s criteria for expertise, competence and authority for SEC-registered or unregistered advisory firms and fund managers. Your business practices will be fully assessed and
solutions will be provided before problems turn into violations. We will evaluate existing programs and make recommendations to fill any identified gaps.

We can provide all your outsourced needs.

ONE STOP SOLUTION

Our team of experts are here to take the load off your shoulders by providing you solutions all in one place. Why worry yourself with numerous consulting firms? Just stop here. CLICK HERE TO SCHEDULE YOUR CONSULTATION WITH US NOW.