Focused Compliance Services for RIAs and Private Funds.

We help emerging and evolving advisory firms design regulatory architectures that support their business models. Services include:

• RIA formation and registration strategy (SEC, state, and multi-state)
• Form ADV drafting and refinement
• Registration sequencing and jurisdictional planning
• Investment Adviser Representative registration
• Regulatory positioning for novel or hybrid business models

We design compliance programs that are proportionate to firm size and risk, aligned with actual workflows, defensible under regulatory scrutiny and maintainable by lean teams. Capabilities include:

• Firm-specific compliance frameworks
• Risk assessments and risk narratives
• Policies and procedures tailored to real operations
• Ongoing compliance infrastructure design
• Board- and management-level governance alignment

Modern financial firms run on vendors. We help you govern them like it matters—because it does. Services include:

• Vendor risk assessment frameworks
• Due diligence review and gap analysis
• Contract and oversight considerations
• Risk mitigation strategies .

We work closely with you to design, implement, and maintain compliance programs. Engagements are scoped to firm needs and may include:

• Ongoing oversight of the firm’s compliance program
• Development and maintenance of policies and procedures
• Risk assessments, annual reviews, and compliance reporting
•  Marketing Rule compliance, including governance, substantiation, and review workflows 
• Regulatory exam readiness and response support
• Advisory support as the business model, products, or footprint evolve

We design governance frameworks that help firms identify, protect, and manage trade secrets and other sensitive proprietary information as part of their broader risk and compliance architecture.

Our work focuses on clarity—defining ownership, responsibilities, access controls, and escalation paths—so protections are consistent, enforceable, and embedded in day-to-day operations

We support ongoing compliance with trade secret and confidentiality frameworks by aligning policies, procedures, and operational practices with how information is actually created, shared, and stored within the organization.

This includes integrating trade secret protections into existing compliance programs, vendor governance processes, and employee workflows—reducing risk without adding friction.