Worried That Your Next SEC Audit Will End in Fines? TAKE THE ASSESSMENT
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You’re a professional.
You’re a business owner.
ACT LIKE IT.

Don’t waste your time with a compliance consultant.

This is NOT Your Daddy's Law Firm...

Buying an office with 20 IARs?

Just added another $500 million in assets under your management?

Freaking out about your next exam?

Or maybe you’re just sick and tired of dealing with compliance headaches…

We do the compliance AND the legal for you.

You won’t have to worry about ONE person who’s probably working with
EIGHTY OTHER FIRMS… 
(and doesn’t even have time to answer your call)

Take control of your compliance

Don't Let Compliance Be A Pain In The Ass

Get an outsourced compliance DEPARTMENT.

A whole TEAM OF PEOPLE to call your own.

UNLIMITED ACCESS.

Unlock a world-class team of compliance nerds, including attorneys and officers, at a fraction of the cost of hiring an individual compliance officer.

Which Service is Right For You?

With our Outsourced Compliance Department services, you not only get comprehensive compliance support but can also get access to legal services that guarantee a seamless SEC audit.
  OCD OCD+
IAR Onboarding:
  • Background check by Sterling (@cost)
  • U4 filing and 2B preparation
  • Transmission and review of initial compliance documents and attestations (including OBAs, personal securities transactions)
  • 60-minute compliance onboarding call
U4 and U5 reviews and updating
Form ADV Part 2B reviews and updating
Form ADV Part 1 review and updating
Form ADV Part 3/Form CRS review and updating
Annual 1 on 1 interviews with IARs
Annual Amendment preparation and filing
Annual Compliance Review and Report
Annual Retrospective Review
Annual Personal Holdings Review
Annual 13H report
Annual Best Execution Review
Annual Compliance Meeting
Annual Client Account Review Testing
Annual Client Custody Review
Quarterly 13 F Report
Quarterly Personal Securities Transactions Review
Quarterly Code of Ethics Attestations Review
Quarterly IAR state registration review
Quarterly Social Media and Website review
Quarterly Code of Ethics Certication Review
Quarterly Personal Securities Transaction Review
Quarterly or Monthly Fee Audit
Quarterly OBA Audit
Quarterly Branch Audit
Quarterly Client File Review
Monthly Trade Error Log Review
Monthly DOL Rollover Form Testing
Weekly Trade Review
Advertising Review
Cybersecurity Review
Response to routine state regulatory inquiries
Succession planning
Vendor due diligence  
Alternative Products Due Diligence  
Participation in Investment Committee  
Ongoing training of compliance and products with staff
Heightened Supervision Oversight  
AUDIT SUPPORT: Respond to questions and provide guidance on response to regulators
AUDIT SUPPORT: Prepare Responses
AUDIT SUPPORT: Review responsive documents and Bates number  
AUDIT SUPPORT: Communicate with regulators on behalf of firm  
AUDIT SUPPORT: Be present on site for in person portion of exam  
AUDIT SUPPORT: Phone support during on site portion of exam
Respond to client complaints led directly with state regulators or the SEC  
LEGAL: Review and update IMA
LEGAL: Review and update ERISA Fiduciary Agreement
LEGAL: Review and update IAR Agreement  
LEGAL: Review and update non-IAR employment and 1099 agreements  
LEGAL: 5 hours billable hour time with legal staff  
Development of customized compliance forms
Books and records management  
Compliance technology set-up and maintenance
Mandatory 60-minute call per month
1 60-minute call with IARs monthly
2 on site visits annually (cost of travel not included)  
Designated Chief Compliance Officer  






Ditch the Bullshit Compliance Consultants

Regulation is going to come, and you have to be ready.

YOU are the trusted professional.

Stop dealing with consultants.

Get a real team.

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