SEC Compliance Services for Investment Advisers
Our comprehensive compliance program reviews and solutions are tailored to your firm's specific needs, delivering expertise you can rely on.
Get in touch with our former SEC examiners or request a compliance consultation today to elevate your compliance framework.
Featured Consulting Services
Comprehensive Mock SEC Examinations
We leverage decades of SEC examination experience to evaluate investment advisers through an examination-focused lens. Our mock SEC examinations include document review, examiner-style interviews, and risk-based testing tailored to the firm's business and regulatory risk profile. We provide clear findings and practical recommendations designed to strengthen the compliance program and improve examination readiness.
Annual Compliance Reviews & Risk Assessments
Our annual compliance reviews are conducted through the lens of former SEC examiners to evaluate your firm's compliance program under Rule 206(4)-7. Using a risk-based approach, we assess policies, procedures, internal controls, testing methodologies, and regulatory disclosures, identify practical compliance risks, and deliver clear recommendations to strengthen your program and improve examination readiness.
Additional Compliance Services
Policies and Procedures Development
Development and enhancement of compliance policies and procedures tailored to the firm's business activities, regulatory obligations, and compliance risks.
Learn moreSEC Examination Support
Expert guidance and support during regulatory examinations, including preparation, document management, and response coordination.
Learn moreProject-Based Engagements
Targeted solutions addressing specific compliance challenges or special projects your firm faces.
RIA Registration & Form ADV Support
Assistance with investment adviser registration, Form ADV filings and amendments, regulatory disclosures, and related filing requirements.
Learn moreMarketing Rule & Advertising Reviews
Review of adviser advertisements, performance presentations, websites, social media, testimonials, endorsements, third-party ratings, and related compliance practices under the SEC Marketing Rule.
Learn moreOngoing Compliance Support
Flexible compliance support for registered investment advisers, including testing, regulatory filings, policy updates, annual reviews, remediation, and support for the CCO and compliance function.
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