Investment Advisor Services
- Annual Compliance Review
- Annual Reports: DCM/DCO/SD/MSP
- Back Tested Performance
- Business Continuity Planning
- CCO Outsource
- Chief Operating Officer & Principal Operations Officer Support
- Client Due Diligence / Enhanced Due Diligence
- Compliance Support
- Compliance Technology Review
- Dual Registrants
- Email System Review
- Employee Trading
- ERISA
- Executive Recruiting
- FCM, Swap Dealer and Major Swap Participants Regulatory & Compliance Services
- Hybrid RIAs
- Information Security Review
- Insurance Services
- Merger and Acquisition Integration
- National Futures Association Registration
- Operational Efficiency
- Planning Services
- Registered Investor Advisor Compliance Program Review
- RIA Risk Assessments
- RIA Registration
- Serving Senior and Vulnerable Adult Clients
- Social Media
- Software Vendor Selection
- Starting Your Own RIA
- Succession Planning
- Technology Governance, Controls & Software Development Life Cycle (SDLC)