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Staying compliant with changing federal and state regulations is essential to running a successful investment advisory business. We take the mystery and anxiety out of the process. A dedicated compliance team helps you stay on top of everchanging regulations. As CCO, you will retain control over your firm and compliance program but we can eliminate the time you would have spent on compliance functions, so that you can have more time to talk to clients and prospects.


  • 4% per year of gross revenue for Compliance services (Min. $18K)

  • $5,000 flat fee for Initial RIA registration for up to 2 states

  • $5,000 flat fee for SEC registration

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Regulatory Exam Prep & Support
Response to Document Requests
Marketing & Advertising Reviews
Complaint Review & Response
Annual ADV Updates
Outside Business Activity Reviews
State and SEC Filings
Disclosure Requirements
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