Our Service Offerings
Pick from one of three levels of service. All services include complete regulatory exam support, access to our portal, and unlimited face time.
All programs are available to both SEC-registered and state-registered investment advisers.
Virtual Compliance Department
This level of service is designed to provide full compliance services, support, and consulting to RIAs who may not have enough internal resources.
The firm retains the title of CCO on your Form ADV, but we help you get it all done. We handle all regulatory filings, trainings, and reviews. Think of it as having a fully functional compliance department.
With this service model, you can delegate everything or select only those services or tasks you want to outsource.
Compliance Consulting
If your RIA can handle all of the internal compliance tasks using the firm's own resources, but you still want someone to help you out as needed, this package is the one for you.
You receive unlimited phone, video, or email consultatations with one or more members of our team.
Full support is provided in the event of a regulatory examination.
Chief Compliance Officer
Outsourcing the CCO role is the right move for a growing number of investment advisers.
There are many reasons why delegating the CCO role works so well. As your named CCO, we take the responsbility, and risk, off of your hands.
