For firms that take compliance seriously, at any size.

Emerging Investment Managers

Building an RIA compliance program that holds up to scrutiny as assets, headcount, and complexity grow.

Common situations

• Registering as an adviser and building a program from the ground up
• Launching a first fund or strategy
• Preparing for a first regulatory examination
• Investor and allocator due diligence on the compliance function

Established RIAs

Senior-level compliance expertise for firms that need judgment and leadership but not a full-time hire.

Common situations

• A departing or retiring CCO, and a need for continuity
• Coverage during leave or a leadership transition
• Complex strategies that call for experienced judgment
• An upcoming examination, or a program that needs a reset

Growing RIAs

A flexible CCO offering that can scale with your firm’s needs.

Common situations

• Outgrowing a founder-as-CCO arrangement
• Adding new strategies, products, or client types
• An internal team stretched by growth or regulatory change
• A lean team that needs a credible compliance leader