Compliance Consulting for RIAs and Fintech.
Evolved compliance solutions for an ever evolving industry.
Our industry is changing rapidly, so too should your compliance strategy. If you take a simple compliance approach to how you address the ever-changing expectations of your clients and regulators - you will inevitably fail your business. Your firm needs a dynamic compliance solution designed to meet the unique needs of your business.
Areas of Practice
Creating a culture of compliance
A culture of compliance starts at the top - we are here to help founders set strong compliance guidelines and coach them to live by them. Most importantly helping founders grow business and revenue while staying compliant.
Audit
You practice your pitches. You test your investment philosophy. You need to practice for any regulatory exams. We offer mock audits to get you primed and ready for any regulatory authority. Packages include Audit, GAP Analysis and Policy & Procedures updates.
Liability & Risk
We help you determine the biggest risks in your practice and help reinforce them for protection. Whether it is model portfolios, social media & marketing or supervision of new advisors. We are here to help you do what your business needs in a compliant way. We don’t say no without an alternative solution.
“It takes a lifetime to build a good reputation, but you can lose it in a minute.”
―Will Rogers