When searching for a compliance consultant, it's important for there to be a mutual fit.  Every compliance consultant works differently, and you should determine what is the best fit for your business.  When working with us, we strive for open two-way communication in addition to personalized relationships.  We are not a "Do It Yourself" type of company and we do not operate as a "call center".  We try to offer as much support as possible so you feel comfortable about the state of your compliance program. 

Starting a new RIA can be a huge, life-changing event.  It can be a stressful time with much uncertainty.  We try to make this process as organized and seamless as possible and communicate with you throughout so you don't feel alone.  Being a small business ourselves, we understand the feeling!  We can also share our other clients' experiences and even connect you with some if you'd like to speak with others that have gone through the process.

Mock audits can be best described as a complete "scrub" of your entire compliance program.  We make sure everything is up-to-date and that the firm is prepared for a "real" regulatory audit.  We frequently perform mock audits for State-registered as well as SEC registered firms.  Our mock audits satisfy the annual 206(4)-7 testing/review requirement for SEC firms.

On-going support can be time-consuming and expensive if conducted completely in-house.  While we do not offer named outsourced CCO services (since the regulators do not like this), we can fully support an in-house named CCO.  We can provide basic support services all the way to comprehensive services, depending on the service level desired by your firm.