Advisor-friendly compliance

While our top priority is ensuring investor protection, we approach compliance with a mindset that is decidedly pro-business. You know your clients and have their best interests at heart. We only partner with high quality advisors who we trust. Thus, we believe it is in everyone’s best interest when we can say yes. We seek to accommodate our advisors in the method they need to service their clients. At the same time, we never do anything that could put your business – or ours – at risk.

Our experienced compliance team members have diverse backgrounds including serving as producing financial advisors, chief compliance officers of an RIA and Broker Dealer, traders and compliance officers at other firms. Their experience means we have subject matter experts in all areas of the industry. Rarely is there a situation we are asked to deal with that one of them hasn’t dealt with before.

The goal of our compliance people is to help you analyze your operations and deliver the tools you need to build an effective, scalable compliance system without draining your resources or time. We also participate in many industry organizations, allowing us to advocate on behalf of our clients, stay informed and help influence regulatory issues. Many of our partners view our compliance team as critical in developing a long lasting, enduring, sustainable business.

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