Are you tired of doing your own compliance work? Do you want to relinquish the CCO role to someone with more experience? Are you worried about what you aren’t doing? Are you worried about what regulators would find during their examination of your firm?

Compliance deserves a team of experts fully dedicated to the task.  We are ready, if you are. Fill out the Compliance Consulting Questionnaire now.

You don’t want to spend a ton of money on non-revenue generating tasks. Do you even realize how much money you could LOSE if you don’t have the right person doing your compliance though?

CLICK HERE to find out how much money it is costing you by watching our series,

“The 10 STUPID things your CCO is doing!”

But before you hire anyone, even us, be sure to read our FREE report Top 25 mistakes non-attorney service providers make that could cause you HUGE fines“.

We want to make sure you are getting the most out of every dollar you spend on compliance. That’s why we have suggested the services below based on how much your firm manages. Check it out!

Compliance Bootcamp

Gain access to our pre-recorded webinar series and get trained on the compliance requirements and regulations governing your RIA business. You will also be provided form template documents to get your compliance in shape with the most up to date information available.

Compliance Consulting

If you are looking for some guidance and input, one-on-one compliance consulting with one of our compliance team members is the way to go. Our compliance team assists advisers with completing their regulatory requirements, including amendments for Form ADV and conducting annual compliance reviews, to review advertising and social media content to ensure conformity with state and SEC requirements.

Outsourced Compliance Department

As your firm grows, so does the burden of your compliance responsibility. You could begin to hire compliance staff in house, train them, pay salaries, deal with turnover and maintain oversight or hand the responsibility over to us.

We are a fraction of the cost, fully trained, and our services come with our
"We Will Defend Our Work For FREE" Guarantee