Service Overview
SEC & State Investment Adviser
Compliance Consulting
Our consulting methodology leverages decades of SEC examination and management experience to transform complex regulatory frameworks into actionable governance. We focus on risk identification and mitigation, ensuring firm's infrastructure is built for efficiency and long-term exam readiness.
Methodology-Driven Strategy
Compliance Program Oversight & Governance
An effective compliance program is more than a regulatory requirement—it is a critical component of a well-managed advisory business. We work with firms to develop, maintain, and enhance compliance programs that are tailored to their operations, risks, and growth objectives. Whether serving as an outsourced CCO or providing ongoing SEC and RIA compliance support, we help firms build practical compliance frameworks designed to withstand regulatory scrutiny while supporting business success.
Core Service Areas:
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Annual Compliance Program Reviews
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Ongoing Compliance Consulting & Regulatory Guidance
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Outsourced Chief Compliance Officer (OCCO) Services
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Compliance Program Development, Testing & Monitoring
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Compliance Manual Development & Maintenance
Regulatory Readiness & Examination Support
Regulatory exams can place significant demands on advisory firms. We help firms prepare in advance, identify and remediate compliance gaps, and manage the examination process from start to finish. Our goal is to minimize disruption, reduce uncertainty, and position firms to respond confidently throughout the examination. By proactively assessing compliance programs and identifying potential areas of concern, we help firms mitigate regulatory risk and navigate examinations efficiently and effectively.
Core Service Areas:
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Mock Regulatory Examinations (Onsite)
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SEC and State Examination Readiness Reviews
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Support During Regulatory Examinations & Document Production
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Deficiency Letter Responses
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Remediation Planning & Implementation
Registration, Filings & Regulatory Reporting
Regulatory filings and registration requirements are foundational obligations for investment advisers. Accurate filings and disclosures are essential to staying compliant. From launching a new advisory firm to managing ongoing regulatory filings and disclosure obligations, we provide guidance throughout the regulatory lifecycle. Our goal is to help firms meet their filing requirements accurately, efficiently, and in a manner consistent with regulatory expectations.
Core Service Areas:
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SEC and State RIA Registration
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RIA Transition Support (State-to-SEC)(SEC-to-State)
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Form ADV Preparation & Filing
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Annual/Interim Form ADV Updating Amendments
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Form CRS Preparation & Updates
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Regulatory Reporting/Filing Support (Form PF, Form 13F/H/G, State Notices, etc.)
Training & Specialized Compliance Services
Today's regulatory environment continues to evolve, requiring advisers to address emerging risks and increasingly complex compliance obligations. We provide practical, targeted compliance consulting, training, and specialized reviews to support firms in addressing evolving regulatory challenges and strengthening internal controls, emphasizing actionable guidance that can be implemented directly in day-to-day operations.
Core Service Areas:
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SEC Marketing Rule Compliance Reviews
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Annual Compliance Training Programs
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Website & Social Media Compliance Reviews
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Cybersecurity Compliance Assessments
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Written Information Security Program Reviews
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Anti-Money Laundering Compliance
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Project-Based Engagements