Our clients vary in size, shape, geography and need. They share a desire for efficient and effective compliance solutions, created and maintained by experienced professionals.

Our nation-wide client base includes:

  • SEC and State Registered Investment Advisers
  • Broker-Dealers
  • Registered Investment Companies (Mutual funds)
  • Private Funds (Hedge funds/Private Equity funds/Real Estate funds)
  • Municipal Advisors

Services for a variety of situations:

  • Start-up (pre-registration) or Recently Registered
  • Lack Experienced or Full-time Compliance Staff
  • Recent Compliance Staff Turnover
  • Require an Outside Perspective
  • Desire to Learn and/or Understand Industry Best Practices
  • Correction or Identification of Regulatory Inadequacies
  • Seek an Annual Compliance Review or Mock SEC Exam
  • Need to Update or Draft Policies and Procedures

We understand the challenges facing our clients. Below are some common things we hear from them and how we can help