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Compliance Advisor Professionals, LLC (CAP) is dedicated to understanding and meeting the compliance needs of each client in an efficient, thorough, and cost-effective manner. CAP crafts customized compliance support solutions, analyzing each investment advisor’s business needs so that we can target our support to address their specific requirements.
CAP offers comprehensive compliance support, so that our clients can conduct their business with the confidence that the necessary filings are complete, current, and aligned with the latest regulatory requirements.
Our personalized investment advisor compliance (RIA) support means helping clients understand current regulatory requirements and keeping them on track as they navigate the compliance process. Working with investment advisors across many platforms, we draft and review compliance documents, customizing them to the needs of each investment advisory firm.
Our goal is to not only keep our clients in compliance with SEC and state regulations, but to educate and empower them. We spend time getting to know our clients and the contours of their businesses so that we can provide them with the services they need without unnecessary charges for those that they don’t require.
Our ongoing compliance support includes a broad spectrum of services, including:
Writing, editing, and updating compliance documents is a substantial component of our comprehensive compliance support. Depending on your needs, we will prepare or review your disclosure documents: Form ADV Parts 1, 2A, 2B, and Form ADV 3 (Customer Relationship Summary) as applicable. This includes reviewing disclosures of services, fees, sources of compensation, wrap fee arrangements, material affiliations and any conflicts of interest, potential or otherwise, as well as offering suggestions for changes and additional disclosures.
CAP updates procedures as warranted by changes in the industry, including new best practices and new regulatory requirements. We monitor these developments so that you don’t have to, and ensure that your written compliance procedures are comprehensive and current.
Investment advisors are legally required to adopt and maintain key compliance documents and programs, including a written Code of Ethics, an Incident Response Plan, a Business Continuity Plan, and a Privacy Notice. CAP works with you to build a comprehensive compliance program tailored to your firm and aligned with SEC guidelines, with core components as noted above and a Compliance Manual that meets the requirements of the SEC’s Compliance Program Rule.
Our services include a recurring Compliance Checklist call to help clients streamline and manage compliance responsibilities throughout the year. Each investment advisory firm works consistently with dedicated team members who know them and understand their business.
During your monthly Compliance Checklist call, we work through an extensive list of questions to review routine compliance deliverables and deadlines and to identify changes or developments in your business that might trigger necessary filings, updates, or amendments. In addition to the review of your Compliance Checklist, you will have the opportunity to discuss new business items with your consultant, who provides you with written minutes of every meeting.
Federally registered investment advisors are required by the SEC to review compliance policies and procedures for adequacy and effectiveness, at least annually. CAP assists clients in this review, which includes a risk assessment and formal written report of findings and mandated corrective actions.
At the client’s request, CAP conducts a thorough review of all advertising and marketing materials, including websites, LinkedIn and other social media posts, newsletters, pitchbooks and advertisements that may trigger complex disclosure requirements.
CAP empowers our clients with information that helps them remain compliant without overwhelming them. An additional benefit of our retainer services is access to our library of client resources, including informational videos and training modules. Content includes compliance fundamentals and guidance regarding new regulations. Available topics include Compliance Introduction and Primer, Protection of Senior Clients, Books and Records Requirements, Billing and Fees, Regulatory Exams, AI, Vendor Due Diligence and Management, and more.
We view ourselves as partners with our clients. Utilizing our expertise with regulatory and compliance matters allows clients to dedicate their time, effort, and resources to their core business objectives. We are here to help you with all of your compliance support needs. The team members with whom you work will know your company and understand your priorities; you won’t need to start from scratch every time you contact us.
We are committed to offering our clients precisely the compliance support they need and streamlining their compliance responsibilities for effectiveness and ease of maintenance, both now and in the future. We look forward to working alongside you, helping to manage every aspect of your regulatory compliance so that you can serve your clients with confidence.
Get compliance support and documents designed for your firm’s needs, implemented in a way that makes practical sense. Contact Compliance Advisor Professionals at (508) 828-1410, by email at info@complianceadv.com, or contact us online.
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