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We help broker-dealers and registered investment advisers, ranging in size from small to large, and provide ongoing or project-based services depending on the specific needs of our clients. Our broker-dealer clients engage in securities activities including but not limited to securities offers and sales, underwriting, private placement of securities, research, and chaperoning activities for foreign broker-dealers pursuant to Exchange Act Rule 15a-6. Our investment adviser clients provide investment advisory and asset management services and are registered with the Securities and Exchange Commission, states or exempt from registration.

It is our mission and passion to be well versed with the ever-changing compliance requirements of securities and investment advisory firms. Whether your firm has only one compliance officer or an entire compliance team, our experts can provide you with valuable insight interpreting rules and regulations, industry practices, and more importantly, assisting your broker-dealer or registered investment adviser with implementing a compliance program that complies with applicable rules and regulations.

How Can We Help?

Get in touch with us to learn how our team of experienced compliance & accounting professionals, and former SEC and FINRA regulators, can ensure you reach your goals.

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