Adviser Compliance Assist Program

We provide ongoing compliance support to registered investment advisers that is tailored to your firm’s unique needs. Our adviser compliance assist program includes:

  • Reviewing of critical compliance documents
  • Annual review planning, management and oversight
  • Annual review organizer, including a risk assessment and monitoring schedule
  • Independent forensic testing and reviews
  • Quarterly sync-ups
  • Summary reports
  • Regulatory filings
  • Annual ADV Amendment and any interim updates, if necessary
  • Section 13 compliance
  • Onsite visits
  • SEC exam support
  • Unlimited remote consulting

We promote open and consistent communication throughout the entire engagement by offering unlimited consulting. Consulting via phone, email and web conferencing is included for the duration of the engagement. We encourage you to contact us at any time with questions pertaining to the scope of the engagement.