Our Services

Practice Leader: Lawrence C. Manson, Jr.

We offer critical planning, implementation and support services to help you meet the ever-increasing compliance and regulatory requirements and demands of your investors.

Our suite of Compliance Solutions services includes:

• Compliance Search and Interim Staffing Solution – Provide critical support during a time of transition of your internal compliance team by combining our strength as a potential Outsourced Chief Compliance Officer (as described below) while recruiting our replacement.
• Compliance Support Solution – Provide compliance support services to assist your Chief Compliance Officer in their day-to-day administration of your compliance program.
• Investment Advisor Registration Solution – Prepare compliance program infrastructure, prepare and file both state and SEC registration application as appropriate and guide registration process through approval.
• Outsourced Chief Compliance Officer Solution –  Serve as your Chief Compliance Officer.
• Review and Assessment Solution – Review your compliance program by providing expertise, review and feedback on meeting industry best practices while performing a mock SEC exam.

In addition to each service standing on its own, our Compliance Solutions can provide you an essential overlay to our many other services including Operations, Marketing and Communications and Strategic Planning all of which have important compliance and regulatory considerations.

Our suite of Compliance Solutions services are supported and delivered pursuant to our strategic alliance with Compliance Risk Concepts, LLC.  For more information, please see the related press release.