Investment Advisers

Professional Services for Investment Advisers

The regulations that impact investment advisers are complex and extensive, demanding constant updating to match changes in requirements and regulatory compliance. It is vital that all matters regarding federal and state compliance are managed carefully to protect your firm from risk as well as protecting your clients.

We provide professional services in matters related to investment adviser regulatory compliance and registration. Our scope of services is flexible, allowing our professional team to serve a range of sizes of investment advisers and firms. Our services include but are not limited to the following:


  • Annual Compliance Program Reviews
  • Branch Office Inspections / Branch Audit Reviews
  • Business Continuity Program Reviews/Disaster Recovery Planning Reviews
  • Financial, Business, and Operational Risk Reviews
  • Mock Regulatory Audits
  • Regulatory Exam Assistance and Preparation
  • Customized Audits by Department, etc.

Training & Education

  • Code of Ethics Training
  • Department and Staff Training
  • Compliance and Supervision Training
  • Other Training as Requested

Professional Services

  • Expert Witness Services
  • Expert Liability Analysis Services
  • SEC Mandated Consulting
  • Advertising/Communication Reviews (i.e. Advertising, Correspondence, Web Sites, Emails, and Social Media)
  • CCO Outsourcing Services
  • Employee and Firm Trading Reviews
  • Arbitration and Customer Complaint Investigations
  • Regulatory Entitlement and Periodic Reporting (13F, etc.)
  • Vendor Selection Reviews and Guidance (i.e. email archiving, etc.)

Registration & Licensing

  • Starting an Investment Adviser
  • State Registrations/Notice Filings
  • SEC Registration
  • Form ADV Preparation and Filing Services


  • Compliance and Operational Forms
  • Written Supervisory Procedures/Compliance Manuals
  • Code of Ethics
  • Disaster Recovery Plans/Business Continuity Programs